John D. Walton
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.
John David Walton JR., who also goes by John David Walton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2011. John had worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2020 - February 3, 2022
ALLEN C. EWING & CO.
November 5, 2015 - March 2, 2020
PIPER SANDLER & CO.
January 31, 2014 - October 5, 2015
TRUIST SECURITIES, INC.
November 29, 2011 - April 1, 2013
SANDLER, O'NEILL & PARTNERS, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLEN C. EWING & CO.
CRD#: 26102 / SEC#: , 8-42393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPHA STREET HOLDINGS LLC | HOLDING COMPANY | |
| JACKSON, DAVID WHITNEY JR | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1213535 |
Disclosures
| Regulatory Event | 10 |
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.
