Walter Duke (CRD# 867553) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Gadsden, AL and has over 44 years of experience in the finance industry.
CRD# 1938689
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 6386557
Lpl Financial LLC
CRD# 4666854
Lincoln Financial Securities Corporation
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America,na | Gadsen, AL | Sep 2010 - Current | 13 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gadsden, AL | Mar 1979 - Current | 45 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 1980 |
| S65 | NASAA Investment Advisors Law Examination | Aug 1993 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- AL
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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