Booker T. Walton
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.
Booker T Walton JR was a registered financial professional .
Booker is a previously registered financial professional and started their career in finance in 1979. Booker had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2002 - March 28, 2003
STIPEK SECURITIES, LLC
September 13, 1996 - April 24, 2002
WALNUT STREET SECURITIES, INC.
February 26, 1987 - September 13, 1996
AMERICAN GENERAL EQUITY SERVICES CORPORATION
March 17, 1986 - January 29, 1987
LPL FINANCIAL LLC
September 26, 1979 - March 14, 1986
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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: 9/17/1979
Registered Representative ExaminationCurrent Firm
STIPEK SECURITIES, LLC
CRD#: 100940 / SEC#: , 8-52046
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIPEK, LESLIE CLARK | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 1200931 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
