Walter T. Cross
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 Thomas Cross, who also goes by Tom Cross, W Thomas Cross, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1975. Walter had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 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
January 3, 2017 - November 27, 2018
THE LEADERS GROUP, INC.
October 30, 2014 - December 31, 2016
OSAIC SERVICES, INC.
June 23, 2011 - October 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 4, 2004 - July 9, 2009
SECURITIES AMERICA ADVISORS, INC.
June 20, 1995 - July 9, 2009
SECURITIES AMERICA, INC.
January 13, 1995 - September 18, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 13, 1995 - September 18, 1995
SIGNATOR INVESTORS, INC.
November 11, 1994 - January 12, 1995
WALNUT STREET SECURITIES, INC.
December 1, 1975 - November 10, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 1, 1975 - November 10, 1994
SIGNATOR INVESTORS, INC.
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
Series 1
Date: 11/26/1975
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
