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John William Walker

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Information

Other Names: John Walker
Firm:
Type: SEC and FINRA Registered
Description

John Walker is a financial professional at Waddell & Reed, a broker-dealer with over 2,750 registered representatives nationwide. John has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Peach State Quartet 6 years, 8 months Jan 2009 - Present
Henry Baptist Church 10 years, 8 months Jan 2005 - Present
Waddell & Reed, Inc. 18 years, 1 month Aug 1997 - Present
Various Insurance Carriers for W&R Insurance Agneicies 18 years, 1 month Aug 1997 - Present
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 02/15/2008
General Securities Principal ExaminationSeries 24 01/26/2001
Uniform Investment Adviser Law ExaminationSeries 65 03/19/1999
Investment Company Products/Variable Contracts Principal ExaminationSeries 26 06/03/1996
Uniform Securities Agent State Law ExaminationSeries 63 03/03/1992
General Securities Representative ExaminationSeries 7 02/19/1992

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

John William Walker has not answered any questions on Financial Q&A.

Top Articles

John William Walker has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/09/2015
07/10/2015
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Other: VARIABLE FEES