Unclaimed
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 with UBS Financial Services Inc. Darrick Walker has been working in the financial services industry since 1994. Darrick Walker is registered to provide investment advice in 27 states and also offers services in Texas and Wyoming. Previously, Darrick Walker has been associated with a number of firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and Dean Witter Reynolds Inc.
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 3/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/11/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 4/19/1994
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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