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LLOYD D WALKER JR
DENNIS WALKER, LLOYD D WALKER, LLOYD DENNIS WALKER JR
CRD#: 5340173
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1605 MONROE DR NE
ATLANTA, GA 30324
ATLANTA, GA 30324
0
Disclosures
17
Years of Experience
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State Registrations
B
California 6/20/2023
B
Georgia 6/20/2023
B
Florida 7/24/2023
IA
Georgia 7/26/2023
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/20/2023
B
Registered with this firm since 6/20/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/19/2013 - 07/03/2023 | ATLANTA, GA | |
B | 02/04/2013 - 07/03/2023 | ATLANTA, GA | |
IA | 05/06/2011 - 10/17/2012 | FORT LAUDERDALE, FL | |
IA | 04/08/2011 - 10/17/2012 | FT. LAUDERDALE, FL | |
B | 04/07/2011 - 10/17/2012 | FT. LAUDERDALE, FL | |
IA | 08/24/2007 - 04/06/2011 | BOCA RATON, FL | |
B | 07/20/2007 - 04/06/2011 | BOCA RATON, FL |
BOCA RATON, FL
08/24/2007 - 04/06/2011
BOCA RATON, FL
07/20/2007 - 04/06/2011
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.