Karl J. Wacker
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.
Karl J Wacker, who also goes by Karl Wacker, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 2005. Karl had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2015 - January 25, 2017
NORFOLK MARKETS, LLC
November 14, 2014 - August 31, 2015
AVM, L.P.
May 14, 2009 - October 2, 2014
BARCLAYS CAPITAL INC.
September 13, 2005 - September 18, 2008
LEHMAN BROTHERS INC.
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
Series 55
Date: 7/1/2009
Limited Representative-Equity Trader ExamCurrent Firm
NORFOLK MARKETS, LLC
CRD#: 103797 / SEC#: , 8-52306
Contact information
FINRA licenses (1 States and Territories)
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.
