Walter W. Sezna
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.
Walter W Sezna II, who also goes by Walter W Sezna, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 2014. Walter had worked at 3 firms and has passed the Series 66, 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
January 20, 2017 - April 8, 2021
SPOUTING ROCK ASSET MANAGEMENT, LLC
January 20, 2017 - April 2, 2018
SPOUTING ROCK CAPITAL ADVISORS, LLC
September 19, 2014 - January 18, 2017
ROBERT W. BAIRD & CO. INCORPORATED
July 18, 2014 - January 18, 2017
ROBERT W. BAIRD & CO. INCORPORATED
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
SPOUTING ROCK ASSET MANAGEMENT, LLC
CRD#: 150516 / SEC#: 801-80642
Contact information
Regulatory assets under management
| Total Number of Accounts | 187 |
| AUM (Assets Under Management) | $ 454,972,819 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/25/2023 | ||
| 06/22/2022 |
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.
