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JW

Joshua A. Walker

MAN INVESTMENTS
New York, NY 10105
Some features on this profile are disabled
CRD#: 5270867
JW

Professional summary

Joshua Adam Walker, who also goes by Joshua Adam Walker, Joshua Walker, is a registered financial professional currently at MAN INVESTMENTS INC. located in New York, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2014. Joshua has worked at 11 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua Adam Walker | Joshua 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 Joshua Adam Walker's 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

March 10, 2025 - Present

MAN INVESTMENTS INC.

Office #1: 1345 Avenue Of The Americas 21st Floor, New York, NY 10105
BD
CRD#: 15770
New York, NY
Past

May 7, 2018 - February 26, 2025

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA
Past

April 16, 2018 - April 20, 2018

ASCENDANT ALTERNATIVE STRATEGIES, LLC

BD
CRD#: 283881
Austin, TX
Past

November 7, 2017 - March 19, 2018

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

March 22, 2017 - November 10, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
DENVER, CO
Past

March 22, 2017 - November 10, 2017

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

March 22, 2017 - November 10, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
DENVER, CO
Past

March 22, 2017 - November 10, 2017

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

March 22, 2017 - November 10, 2017

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

December 28, 2015 - March 23, 2017

GENEVA ADVISORS, LLC

RIA
CRD#: 121629
Orlando, FL
Past

May 27, 2015 - March 23, 2017

GNV ADVISORS, LLC

BD
CRD#: 147286
CHICAGO, IL
Past

April 17, 2014 - May 15, 2015

CNL SECURITIES CORP.

BD
CRD#: 10356
ORLANDO, FL

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
Arizona
(3/18/2025)
RR
Arkansas
(3/10/2025)
RR
California
(3/18/2025)
RR
Colorado
(3/18/2025)
RR
Idaho
(3/18/2025)
RR
Illinois
(3/18/2025)
RR
Iowa
(3/10/2025)
RR
Kansas
(3/10/2025)
RR
Louisiana
(3/10/2025)
RR
Minnesota
(3/10/2025)
RR
Missouri
(3/10/2025)
RR
Nebraska
(3/10/2025)
RR
Nevada
(3/18/2025)
RR
New York
(3/10/2025)
RR
North Dakota
(3/10/2025)
RR
Ohio
(3/18/2025)
RR
Oklahoma
(3/10/2025)
RR
South Dakota
(3/10/2025)
RR
Texas
(3/10/2025)
RR
Utah
(3/18/2025)
RR
Washington
(3/18/2025)
RR
Wisconsin
(3/18/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/28/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/4/2025
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
MAN INVESTMENTS INC.
E.D. & F. MAN INTERNATIONAL SECURITIES CORPORATION | MAN INVESTMENTS INC. | MAN INVESTMENT PRODUCTS INC. | MAN INTERNATIONAL SECURITIES CORPORATION | E.D. & F. MAN INVESTMENT PRODUCTS INC. | E.D. & F. MAN INVESTMENT PRODUCTS INC

CRD#: 15770 / SEC#: , 8-32575

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

Main Address
1345 Avenue Of The Americas 21st Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 21st Floor, New York, NY 10105
Phone number
(212) 649-6600
Established
New York since 07/12/1984
Firm type
Corporation
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

Direct owners and executive officers

NamePositionCRD#
MAN INVESTMENTS HOLDINGS INC.SHAREHOLDER
HEISKELL, GROVER LEE IIIVICE PRESIDENT AND DIRECTOR2886606
KILLARD, MICHELLE AMYFINOP6582751
LE GALL, NADINECHIEF COMPLIANCE OFFICER4358239
PHILLIPS, MEAGAN PEARL SMOODYPRESIDENT AND DIRECTOR5862754

Disclosures

Regulatory Event3

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

MAN INVESTMENTS INC.

CRD#: 15770New York, NY 10105

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