Frank J. Walker
Professional Summary
Frank J. Walker, who also goes by Frank James Walker, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island and FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island. Frank is registered as a RR (Registered Representative) and started their career in finance in 2016. Frank has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
My role as a Financial Consultant in Flatiron is to partner with clients on building and maintaining financial plans. It is important that every client of mine has three things. First, a plan that is tailored specific to their needs and their family. Second, to help provide peace of mind with an all-weather plan that can adapt to the markets. And third, my clients have clear understanding of the purpose and function of each moving...
Other Aliases
Frank James Walker
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
Website
xxxxxxxxxx.xxx
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Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
Current
Past
Education
Long Island University
Finance, Bachelor of Business Administration
Finance, Bachelor of Business Administration
2015
University of Central Florida
Finance, Associate of Applied Business
Finance, Associate of Applied Business
2014
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Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
Contact Information
Main Address
900 Salem Street, Smithfield, RI 02917Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262Phone Number
(800) 237-8132Established
Delaware since 01/01/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | — |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | — |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| WALLEN, DEREK ANDERSON | SENIOR VICE PRESIDENT | 2174696 |
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frank J. Walker's CRS (Customer Relationship Summary).
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