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FW

Frank H. Walker

MTS SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5942664
FW

Professional summary

Frank Harrison Walker is a registered financial professional currently at MTS SECURITIES, LLC located in New York, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 2012. Frank has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Frank Harrison 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

September 9, 2013 - Present

MTS SECURITIES, LLC

Office #1: 623 Fifth Avenue 14th Floor, New York, NY 10022
BD
CRD#: 104059
New York, NY
Past

July 26, 2012 - September 6, 2013

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

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
(11/3/2015)
RR
Arkansas
(11/3/2015)
RR
California
(11/3/2015)
RR
Colorado
(11/3/2015)
RR
Connecticut
(11/3/2015)
RR
Delaware
(11/3/2015)
RR
District of Columbia
(11/3/2015)
RR
Florida
(11/3/2015)
RR
Georgia
(11/3/2015)
RR
Illinois
(11/3/2015)
RR
Indiana
(11/3/2015)
RR
Kansas
(11/3/2015)
RR
Louisiana
(11/3/2015)
RR
Maryland
(11/3/2015)
RR
Massachusetts
(11/3/2015)
RR
Michigan
(11/3/2015)
RR
Minnesota
(11/3/2015)
RR
Missouri
(11/3/2015)
RR
Nevada
(11/3/2015)
RR
New Hampshire
(11/3/2015)
RR
New Jersey
(11/3/2015)
RR
New York
(9/9/2013)
RR
North Carolina
(11/4/2015)
RR
Ohio
(11/3/2015)
RR
Oregon
(11/3/2015)
RR
Pennsylvania
(11/3/2015)
RR
Rhode Island
(11/3/2015)
RR
South Carolina
(11/3/2015)
RR
Tennessee
(11/3/2015)
RR
Texas
(11/3/2015)
RR
Utah
(11/3/2015)
RR
Virginia
(11/3/2015)
RR
Washington
(11/3/2015)
RR
Wisconsin
(11/3/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/2012
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: 8/1/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 7/25/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MTS SECURITIES, LLC
KPS KAPITAL, LLC | MTS SECURITIES, LLC

CRD#: 104059 / SEC#: , 8-52515

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

Main Address
623 Fifth Avenue 14th Floor, New York, NY 10022
Mailing Address
623 Fifth Avenue 14th Floor, New York, NY 10022
Phone number
(212) 887-2100
Established
Delaware since 08/10/2001
Firm type
Limited Liability Company
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#
MTS HEALTH PARTNERS, LLCOWNER
CONROY, DENNIS MICHAELFINOP/CFO3222121
DARITA-OPPENHEIM, LUCYCHIEF COMPLIANCE OFFICER2801418
EPSTEIN, MARK ELLIOTGENERAL PRINCIPAL2274559
LANE, CURTIS SCOTTMANAGING MEMBER/DESIGNATED PRINCIPAL718950

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

MTS SECURITIES, LLC

CRD#: 104059New York, NY 10022

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