Walter K. Joly
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 King Joly, who also goes by Walter K Joly, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1977. Walter had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - December 10, 2014
CAPITAL GUARDIAN, LLC
May 19, 2010 - December 31, 2013
COMPASS SECURITIES CORPORATION
January 8, 2007 - December 31, 2008
WINSLOW, EVANS & CROCKER, INC.
January 4, 1995 - May 15, 2024
COMPASS CAPITAL CORPORATION
October 19, 1994 - December 31, 2006
COMPASS SECURITIES CORPORATION
August 5, 1994 - October 11, 1994
OSAIC WEALTH, INC.
July 6, 1977 - August 4, 1994
LINCOLN FINANCIAL DISTRIBUTORS, 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: 6/25/1977
Registered Representative ExaminationCurrent Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
