Douglas P. Walters
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.
Douglas Paul Walters was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1977. Douglas had worked at 6 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1984 - May 9, 1984
DEVANNEY, BURGIN, SHANACY, INC.
November 22, 1983 - January 4, 1984
DEVANNEY, BURGIN, SHANACY, INC.
September 2, 1983 - October 11, 1983
B. J. LEONARD AND COMPANY, INC.
February 24, 1983 - June 22, 1983
HINKLE & LAMEAR, INC.
January 31, 1982 - March 29, 1983
LEHMAN BROTHERS INC.
May 24, 1978 - June 24, 1981
PIPER SANDLER & CO.
January 3, 1977 - January 10, 1987
DAIN RAUSCHER INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
DEVANNEY, BURGIN, SHANACY, INC.
CRD#: 7167 / SEC#: , 8-20425
Contact information
Documents
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.
