Nathan D. Walp
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.
Nathan David Walp was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2008. Nathan had worked at 3 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
January 20, 2015 - February 18, 2015
TRC MARKETS LLC
June 13, 2008 - April 18, 2012
CITI ORDER ROUTING AND EXECUTION, LLC
June 13, 2008 - April 18, 2012
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
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: 7/29/2008
Limited Representative-Equity Trader ExamCurrent Firm
TRC MARKETS LLC
CRD#: 171272 / SEC#: , 8-69454
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
Red Flags
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