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SW

Stephanie S. Walker

PAYDEN & RYGEL
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 5737095
SW

Professional summary

Stephanie Shaw Walker is a registered financial advisor currently at PAYDEN & RYGEL located in Los Angeles, California and PAYDEN & RYGEL DISTRIBUTORS located in Los Angeles, California.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Stephanie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Stephanie Shaw 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

November 3, 2017 - Present

PAYDEN & RYGEL

Office #1: 333 S. Grand Avenue 40th Floor, Los Angeles, CA 90071
RIA
CRD#: 107160
Los Angeles, CA
Current

November 3, 2017 - Present

PAYDEN & RYGEL DISTRIBUTORS

Office #1: 333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
BD
CRD#: 29868
Los Angeles, CA
Past

March 13, 2017 - September 6, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
Boston, MA
Past

December 21, 2016 - September 6, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
BOSTON, MA
Past

February 17, 2012 - August 18, 2016

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

April 13, 2010 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
P&
PAYDEN & RYGEL
PAYDEN & RYGEL | PAYDEN & RYGEL DISTRIBUTORS (BD ONLY)

CRD#: 107160 / SEC#: 801-19762

RIA
Registered Investment Advisory firm - (9/8/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
California
(11/3/2017)
IAR
California
(11/3/2017)
RR
Connecticut
(10/14/2022)
RR
Florida
(11/17/2017)
RR
Georgia
(11/17/2017)
RR
Massachusetts
(11/3/2017)
RR
Missouri
(10/14/2022)
RR
New Jersey
(10/14/2022)
RR
New York
(10/14/2022)
RR
North Carolina
(11/18/2017)
RR
South Carolina
(7/18/2024)
RR
South Dakota
(4/3/2025)
RR
Texas
(7/18/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/2010
Uniform Securities Agent 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: 3/22/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/12/2010
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

P&
PAYDEN & RYGEL
PAYDEN & RYGEL | PAYDEN & RYGEL DISTRIBUTORS (BD ONLY)

CRD#: 107160 / SEC#: 801-19762

RIA
Registered Investment Advisory firm - (9/8/1983 Approved)
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Contact information

Main Address
333 S. Grand Avenue 40th Floor, Los Angeles, CA 90071
Mailing Address
Phone number
(213) 625-1900
Established
Firm type
Fiscal year end
# of Employees
190

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts866
AUM (Assets Under Management)$ 150,947,495,804

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

PAYDEN & RYGEL

CRD#: 107160Los Angeles, CA 90071

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