Stephen W. Walker
Professional summary
Stephen Wayne Walker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Stephen had worked at 16 firms, which includes LPL FINANCIAL LLC, INVESTMENT CENTERS OF AMERICA INC., NATCITY INSURANCE SERVICES INC., GIBRALTAR INVESTMENTS INC., HOCHMAN & BAKER SECURITIES INC., ROBERT THOMAS SECURITIES INC, AMERICAN FRONTEER FINANCIAL CORPORATION, PROFESSIONAL BROKERAGE SERVICES INC., J. W. GANT & ASSOCIATES INC., THE STUART-JAMES COMPANY INCORPORATED, HANIFEN IMHOFF INC., MML INVESTORS SERVICES LLC, MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2000 - July 25, 2007
LPL FINANCIAL LLC
August 20, 1999 - July 25, 2007
LPL FINANCIAL LLC
December 5, 1997 - November 23, 1999
INVESTMENT CENTERS OF AMERICA, INC.
January 13, 1994 - December 3, 1997
NATCITY INSURANCE SERVICES, INC.
December 24, 1991 - August 14, 1992
GIBRALTAR INVESTMENTS, INC.
May 31, 1991 - August 14, 1992
GIBRALTAR INVESTMENTS, INC.
September 6, 1990 - November 6, 1990
HOCHMAN & BAKER SECURITIES, INC.
March 28, 1989 - August 23, 1990
ROBERT THOMAS SECURITIES, INC
April 13, 1988 - February 15, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION
November 23, 1987 - April 12, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
January 20, 1987 - October 16, 1987
J. W. GANT & ASSOCIATES, INC.
October 26, 1984 - March 23, 1987
THE STUART-JAMES COMPANY, INCORPORATED
May 13, 1983 - February 6, 1984
HANIFEN, IMHOFF INC.
February 1, 1983 - June 14, 1983
MML INVESTORS SERVICES, LLC
January 6, 1983 - June 8, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
March 13, 1981 - September 9, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
March 13, 1981 - November 20, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 1981 - November 20, 1983
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
