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Other Names: John Walker, John William Walker II
Type: RIA, FINRA Status Unknown

John Walker is a financial professional at Waddell & Reed, a broker-dealer with over 2,700 registered representatives nationwide. John has held an industry securities registration for less than a year and is subject to SEC oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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*Answers and guides are provided without compensation.

Firm Client Types

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.

Experience and Employment History

Employer Years Dates
Peach State Quartet 5 years, 3 months Jan 2009 - Present
Henry Baptist Church 9 years, 3 months Jan 2005 - Present
Waddell & Reed, Inc 16 years, 8 months Aug 1997 - Present
Various Insurance Carriers for W&R Insurance Agneicies 16 years, 8 months Aug 1997 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 03/26/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

As of Date
*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.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 02/15/2008
General Securities Principal Examination Series 24 01/26/2001
Uniform Investment Adviser Law Examination Series 65 03/19/1999
Investment Company Products/Variable Contracts Principal Examination Series 26 06/03/1996
Uniform Securities Agent State Law Examination Series 63 03/03/1992
General Securities Representative Examination Series 7 02/19/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees