Scott J. Walters
Professional summary
Scott J Walters is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2007. Scott has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott J Walters's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 27, 2009 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010September 19, 2007 - April 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/27/2009)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/15/2007
Limited Representative-Equity Trader ExamFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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