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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Darrick? Claim Your ProfileDarrick James Walker is a financial advisor at UBS Financial Services Inc. with over 28 years of experience in the financial services industry. Darrick Walker is licensed to provide investment advice in California, Texas, and Wyoming. Darrick Walker has a broad range of experience in the financial services industry, including experience at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Dean Witter Reynolds Inc., and Chatfield Dean & Co., Inc. Darrick Walker has passed the Series 63, Series 7, Series 31, and SIE exams. Darrick Walker's areas of specialization include financial planning, portfolio management for individuals and businesses, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
07/14/2023 - Present
UBS Financial Services Inc. (Danville CA)
CA
10/15/2010 - 12/08/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
06/01/2009 - 10/29/2010
MORGAN STANLEY SMITH BARNEY (WALNUT CREEK CA)
CA
10/14/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WALNUT CREEK CA)
CA
07/01/2003 - 10/18/2006
WACHOVIA SECURITIES, LLC (WALNUT CREEK CA)
NY
05/11/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/27/1997 - 05/18/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/08/1994 - 11/06/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CO
04/20/1994 - 06/10/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 03/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 04/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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