Merle G. Walter
Professional summary
Merle Gene Walter was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Merle is a previously registered financial advisor and started their career in finance in 1978. Prior to being barred, Merle had worked at 7 firms, which includes HARRISON DOUGLAS INC., MCL FINANCIAL GROUP INC., CAPWEST SECURITIES INC., OPPENHEIMER & CO. INC., B.C. CHRISTOPHER SECURITIES CO., CONSOLIDATED INVESTMENT SERVICES INC., VP DISTRIBUTORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - May 17, 2011
HARRISON DOUGLAS, INC.
May 18, 2005 - February 8, 2011
MCL FINANCIAL GROUP, INC.
May 17, 2005 - February 8, 2011
MCL FINANCIAL GROUP, INC.
January 1, 1999 - June 16, 2005
CAPWEST SECURITIES, INC.
July 24, 1998 - June 16, 2005
CAPWEST SECURITIES, INC.
March 23, 1990 - January 1, 1998
OPPENHEIMER & CO. INC.
June 20, 1985 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
August 7, 1980 - June 7, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
May 3, 1978 - May 27, 1980
VP DISTRIBUTORS LLC
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: 4/28/1978
Registered Representative ExaminationCurrent Firm
HARRISON DOUGLAS, INC.
CRD#: 16515 / SEC#: , 8-34070
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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