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JW

Jacob F. Walker

APOLLO GLOBAL SECURITIES
New York, NY 10019-2701
Some features on this profile are disabled
CRD#: 5020296
JW

Professional summary

Jacob Frederick Walker, who also goes by Jacob F Walker, Jacob Walker, Jake Walker, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York and GRIFFIN CAPITAL SECURITIES, LLC located in New York, New York.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2005. Jacob has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jacob F Walker | Jacob Walker | Jake Walker

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 Jacob Frederick Walker'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

August 6, 2021 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701
BD
CRD#: 153502
New York, NY
Current

January 18, 2023 - Present

GRIFFIN CAPITAL SECURITIES, LLC

Office #1: 9 West 57th Street, New York, NY 10019-2701
BD
CRD#: 37739
New York, NY
Past

June 15, 2021 - August 2, 2021

T. ROWE PRICE ASSOCIATES, INC.

RIA
CRD#: 105496
Baltimore, MD
Past

March 29, 2018 - August 2, 2021

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD
Past

January 15, 2010 - December 9, 2010

CNR SECURITIES, LLC

BD
CRD#: 18466
NEW YORK, NY
Past

January 7, 2010 - December 9, 2010

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
NEW YORK, NY
Past

May 30, 2006 - February 5, 2008

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
NEW YORK, NY
Past

March 24, 2006 - February 5, 2008

CNR SECURITIES, LLC

BD
CRD#: 18466
SAN FRANCISCO, CA
Past

August 26, 2005 - December 31, 2005

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
NEW YORK, NY

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
Alabama
(8/2/2023)
RR
Alaska
(8/2/2023)
RR
Arizona
(8/2/2023)
RR
Arkansas
(8/2/2023)
RR
California
(8/2/2023)
RR
Colorado
(8/2/2023)
RR
Connecticut
(8/2/2023)
RR
Delaware
(8/2/2023)
RR
District of Columbia
(8/2/2023)
RR
Florida
(8/2/2023)
RR
Georgia
(8/2/2023)
RR
Hawaii
(8/2/2023)
RR
Idaho
(8/2/2023)
RR
Illinois
(8/2/2023)
RR
Indiana
(8/2/2023)
RR
Iowa
(8/2/2023)
RR
Kansas
(8/2/2023)
RR
Kentucky
(8/2/2023)
RR
Louisiana
(8/2/2023)
RR
Maine
(8/2/2023)
RR
Maryland
(8/2/2023)
RR
Massachusetts
(8/2/2023)
RR
Michigan
(8/2/2023)
RR
Minnesota
(8/2/2023)
RR
Mississippi
(8/2/2023)
RR
Missouri
(8/2/2023)
RR
Montana
(8/2/2023)
RR
Nebraska
(8/2/2023)
RR
Nevada
(8/2/2023)
RR
New Hampshire
(8/2/2023)
RR
New Jersey
(8/2/2023)
RR
New Mexico
(8/2/2023)
RR
New York
(8/6/2021)
RR
North Carolina
(8/2/2023)
RR
North Dakota
(8/2/2023)
RR
Ohio
(8/3/2023)
RR
Oklahoma
(8/2/2023)
RR
Oregon
(8/2/2023)
RR
Pennsylvania
(8/2/2023)
RR
Puerto Rico
(8/2/2023)
RR
Rhode Island
(8/2/2023)
RR
South Carolina
(8/2/2023)
RR
South Dakota
(8/2/2023)
RR
Tennessee
(8/2/2023)
RR
Texas
(8/2/2023)
RR
Utah
(8/2/2023)
RR
Vermont
(8/2/2023)
RR
Virgin Islands
(8/2/2023)
RR
Virginia
(8/2/2023)
RR
Washington
(8/2/2023)
RR
West Virginia
(8/2/2023)
RR
Wisconsin
(8/2/2023)
RR
Wyoming
(8/2/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GRIFFIN CAPITAL SECURITIES, LLC
GRIFFIN CAPITAL | HIGHLAND CAPITAL GROUP | HIGHLAND CAPITAL | GRIFFIN CAPITAL SECURITIES, LLC | GRIFFIN CAPITAL SECURITIES, INC.

CRD#: 37739 / SEC#: , 8-47891

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

Main Address
2010 Main Street Suite 530, Irvine, CA 92614
Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614
Phone number
(949) 270-9300
Established
Delaware since 09/28/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
GOOD, ALBACCO2504071
ISHIOKA, RODNEY SHOJISECRETARY3124257
LANG, TUAN HUUFINOP6682817
WALKER, JACOB FREDERICKCEO & CHAIRMAN OF THE BOARD5020296

Disclosures

Regulatory Event2

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

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739New York, NY 10019-2701

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