Walter E. Auch
Professional summary
Walter Edward Auch JR, who also goes by Skip Auch Jr, Skip Auch, is a registered financial advisor currently at SOPHIS INVESTMENTS LLC located in Greenwich, Connecticut.
Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Walter has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 52, Series 3, Series 15, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Walter Edward Auch JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2018 - Present
SOPHIS INVESTMENTS LLC
February 23, 2016 - July 28, 2016
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
September 27, 2013 - July 28, 2016
HERBERT J. SIMS & CO, INC.
August 25, 2011 - October 2, 2013
MIDTOWN PARTNERS
January 5, 2009 - August 19, 2009
DREXEL HAMILTON, LLC
September 19, 2006 - January 3, 2007
SEARLE & CO.
July 9, 2003 - October 7, 2004
DOMINARI SECURITIES LLC
February 2, 1999 - August 14, 2001
FSC SECURITIES CORPORATION
August 9, 1991 - February 14, 1997
DOMINARI SECURITIES LLC
April 2, 1987 - February 2, 1988
CITICORP SECURITIES, INC.
February 27, 1984 - August 23, 1989
UBS FINANCIAL SERVICES INC.
December 3, 1981 - June 27, 1983
KIDDER, PEABODY & CO. INCORPORATED
June 11, 1981 - November 15, 1981
THOMSON MCKINNON SECURITIES INC.
January 31, 1980 - May 17, 1981
UBS FINANCIAL SERVICES INC.
September 1, 1972 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
SOPHIS INVESTMENTS LLC
CRD#: 170391 / SEC#: 801-114611
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/9/2018)
Exams
Series 15
Date: 11/8/1984
Foreign Currency Options ExaminationSeries 1
Date: 8/19/1972
Registered Representative ExaminationSeries 8
Date: 5/16/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOPHIS INVESTMENTS LLC
CRD#: 170391 / SEC#: 801-114611
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 128,501,295 |
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.
