Cody J. Walker
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.
Cody J Walker was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 2012. Cody had worked at 5 firms and has passed the Series 63, SIE 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
September 16, 2015 - February 3, 2016
DAVID LERNER ASSOCIATES, INC.
July 29, 2015 - September 11, 2015
NATIONAL SECURITIES CORPORATION
January 15, 2015 - June 24, 2015
ROTHSCHILD LIEBERMAN LLC
March 5, 2013 - April 29, 2014
NATIONAL SECURITIES CORPORATION
November 20, 2012 - March 1, 2013
AEGIS CAPITAL CORP.
June 27, 2012 - December 7, 2012
OBSIDIAN FINANCIAL GROUP, 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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
