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WW

Walter J. Whitehead

MSC - BD
LAKE OSWEGO, OR 97035
Some features on this profile are disabled
CRD#: 4951795
WW

Professional summary

Walter John Whitehead is a registered financial professional currently at MSC - BD, LLC located in Lake Oswego, Oregon.

Walter is registered as a RR (Registered Representative) and started their career in finance in 2010. Walter has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Walter John Whitehead's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 19, 2020 - Present

MSC - BD, LLC

Office #1: 5 Centerpointe Drive Suite. 400, Lake Oswego, OR 97035
BD
CRD#: 142927
LAKE OSWEGO, OR
Past

March 10, 2020 - May 21, 2020

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

May 6, 2014 - March 4, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOS ANGELES, CA
Past

February 28, 2014 - March 4, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LOS ANGELES, CA
Past

December 7, 2010 - March 22, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/19/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/15/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M-
MSC - BD, LLC
MCINTYRE INVESTMENTS, INC. | NAPLES AIS, INC. | MSC - BD, LLC

CRD#: 142927 / SEC#: , 8-67511

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5 Centerpointe Drive Suite. 400, Lake Oswego, OR 97035
Mailing Address
5 Centerpointe Drive Suite 400, Lake Oswego, OR 97035
Phone number
(503) 515-1313
Established
Florida since 07/10/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MADISON STREET CAPITAL, LLCOWNER
BOTCHWAY, CHARLES OKAIPRESIDENT5752036
DIAMOS, ANTHONY SOLONFINOP/CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4872899
MCINTYRE, PAUL JOSEPHCCO1002368

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

MSC - BD, LLC

CRD#: 142927Lake Oswego, OR 97035

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