Walter N. Anderson
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.
Walter Noel Anderson was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1966. Walter had worked at 5 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 1982 - March 7, 1986
BROOK INVESTMENTS, INC.
April 3, 1979 - October 8, 1980
BROOK INVESTMENTS, INC.
August 20, 1976 - December 25, 1978
JESUP & LAMONT SECURITIES CO., INC.
January 2, 1975 - October 18, 1976
AMERIPRISE ADVISOR SERVICES, INC.
January 26, 1971 - November 8, 1971
FINANCIAL SQUARE PARTNERS
October 14, 1966 - January 28, 1971
BLYTH EASTMAN DILLON & CO. 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
Exams
Series 1
Date: 6/18/1962
Registered Representative ExaminationCurrent Firm
BROOK INVESTMENTS, INC.
CRD#: 7876 / SEC#: , 8-23574
Contact information
Documents
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.
