Craig A. 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.
Craig Alan Walters was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1977. Craig had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2019 - December 31, 2019
MOLONEY SECURITIES CO., INC.
November 10, 2016 - December 31, 2018
MOLONEY SECURITIES CO., INC.
January 8, 2008 - October 20, 2016
SOURCE CAPITAL GROUP, INC.
June 6, 2006 - April 20, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 24, 2002 - May 25, 2006
BROKER DEALER FINANCIAL SERVICES CORP.
July 1, 1998 - April 24, 2002
BARWELL SECURITIES CORPORATION
March 24, 1995 - July 9, 1998
UBS FINANCIAL SERVICES INC.
February 27, 1992 - March 23, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 1, 1991 - February 20, 1992
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 18, 1988 - December 14, 1989
ALLIED GROUP SECURITIES CORPORATION
April 25, 1984 - November 23, 1988
UBS FINANCIAL SERVICES INC.
May 19, 1982 - May 16, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1978 - May 11, 1982
LEHMAN BROTHERS INC.
July 26, 1977 - April 30, 1978
LOEWI & CO., 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 ExaminationSeries 8
Date: 3/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
