Randall J. Walton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Randall Julian Walton was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1984. Randall had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2018 - January 2, 2020
WIESE CAPITAL MANAGEMENT INC
June 8, 2006 - December 31, 2012
WIESE CAPITAL MANAGEMENT INC
June 8, 1988 - June 9, 1989
SUPER FUND SECURITIES CORP.
September 24, 1986 - May 4, 1987
LEHMAN BROTHERS INC.
November 16, 1984 - April 19, 1986
BREAN MURRAY & CO., INC.
May 22, 1984 - November 15, 1984
SWERGOLD, CHEFITZ & INCORPORATED
State Registrations and Notice Filings
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Exams
Series 1
Date: 8/27/1973
Registered Representative ExaminationCurrent Firm
WIESE CAPITAL MANAGEMENT INC
CRD#: 107359 / SEC#: 801-47370
Contact information
Red Flags
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