Walker R. Richardson
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.
Walker Raymond Richardson, who also goes by Walker Raymond Richards, Walker Richards, Walker R Richardson, Walker Richardson, was a registered financial professional .
Walker is a previously registered financial professional and started their career in finance in 2003. Walker had worked at 4 firms and has passed the Series 66, Series 7, Series 10, Series 9, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - January 3, 2014
ALLSTATE FINANCIAL SERVICES, LLC
April 23, 2009 - July 15, 2010
WADDELL & REED
April 23, 2009 - July 15, 2010
WADDELL & REED
March 16, 2005 - April 16, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 16, 2005 - April 16, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 2003 - August 5, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 2003 - August 5, 2004
IDS LIFE INSURANCE COMPANY
October 9, 2003 - August 5, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
