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WG

Walden D. Goins

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CRD#: 6816597
WG

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.

Walden Duncan Goins was a registered financial professional .

Walden is a previously registered financial professional and started their career in finance in 2018. Walden had worked at 1 firm and has passed the Series 63, 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2018 - February 15, 2019

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2018
Uniform Securities Agent 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: 7/23/2018
General Securities Representative Examination

Current Firm

UF
USAA FINANCIAL ADVISORS, INC.
USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: , 8-66197

BD
Terminated by SEC on 08/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/15/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.SHAREHOLDER
FLORES, JENNIFER MARGRETFINOP AND PRINCIPAL FINANCIAL OFFICER4175069
MUIR, JAMES DYERCHIEF COMPLIANCE OFFICER2801996

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

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

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