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WW

William C. Walker

KELSON CAPITAL LLC | Financial Advisor
Stamford, CT 06903
Some features on this profile are disabled
CRD#: 6116145
WW

Professional summary

William Colin Walker is a registered financial professional currently at KELSON CAPITAL LLC located in Stamford, Connecticut.

William is registered as a RR (Registered Representative) and started their career in finance in 2016. William has worked at 3 firms and has passed the Series 66, SIE and Series 7 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 William Colin 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

July 12, 2024 - Present

KELSON CAPITAL LLC

Office #1: 2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
BD
CRD#: 149477
Stamford, CT
Past

June 4, 2019 - June 21, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Palm Beach, FL
Past

June 3, 2019 - June 21, 2024

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Palm Beach, FL
Past

August 24, 2016 - May 31, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PALM BEACH, FL
Past

March 22, 2016 - May 31, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PALM BEACH, FL

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
California
(7/12/2024)
RR
District of Columbia
(12/10/2024)
RR
Florida
(9/13/2024)
RR
New York
(7/12/2024)
RR
North Carolina
(7/12/2024)
RR
Pennsylvania
(7/12/2024)
RR
Texas
(7/12/2024)
RR
Virginia
(7/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/27/2016
Uniform Combined 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: 3/22/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KELSON CAPITAL LLC
GTO GROUP, LLC | KELSON CAPITAL LLC

CRD#: 149477 / SEC#: , 8-68147

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

Main Address
2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
Mailing Address
2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
Phone number
(917) 691-8007
Established
New Jersey since 11/19/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KELSON GROUP I LLCMEMBER
BEATON, DANIEL STEWARTFINOP4240769
LEDVA, DANIEL JOSEPHEXEC. REP, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER,AML SUPERVISOR4607231
RATHJEN, BRIAN ALBERTMANAGING MEMBER, PRINCIPAL2819977

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

KELSON CAPITAL LLC

Financial AdvisorCRD#: 149477Stamford, CT 06903

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