Walter A. Frey
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 Albert Frey, who also goes by Skip Frey III, Walter Albert Frey III, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1980. Walter had worked at 5 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2012 - July 14, 2014
DELTA SECURITIES COMPANY LLC
September 17, 2009 - April 5, 2012
RAYMOND JAMES & ASSOCIATES, INC.
October 18, 2000 - June 18, 2009
HERBERT J. SIMS & CO, INC.
May 28, 1987 - December 19, 1989
JONES FALLS SECURITIES INC.
March 21, 1980 - May 11, 1987
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DELTA SECURITIES COMPANY LLC
CRD#: 145511 / SEC#: , 8-67733
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA SECURITIES GROUP LLC | OWNER | |
| LOW SPARK CAPITAL, LLC | OWNER | |
| TWH VENTURES, LLC | OWNER | |
| NICHOLSON, MYRA PEARLE | PRESIDENT, CCO, FINOP | 2740029 |
Disclosures
| Regulatory Event | 1 |
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.
