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Douglas Willis Walker

Charles Schwab & CO., Inc.

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About Douglas Willis Walker

Douglas Walker is a financial professional with over 20 years of experience in the industry. Currently, Douglas is a Registered Representative at Charles Schwab & Co., Inc. Douglas has previously held positions at PERSHING LLC, Lehman Brothers Inc., Morgan Stanley DW Inc., Ameritrade, Inc. and DATEK ONLINE FINANCIAL SERVICES LLC. Douglas holds FINRA Series 4, 7, 24 and 63 registrations, as well as the Securities Industry Essentials Examination. Douglas is also a registered Investment Advisor Representative in New Jersey.

Firm Information

Douglas Walker is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Douglas Walker’s Registration & Firm History

CA

07/09/2021 - Present

Charles Schwab & CO., Inc. (San Francisco CA)

NJ

06/22/2007 - 10/15/2020

PERSHING LLC (JERSEY CITY NJ)

NY

04/20/2004 - 06/21/2007

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

10/24/2003 - 02/12/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

NE

10/18/2002 - 03/28/2003

AMERITRADE, INC. (OMAHA NE)

NJ

06/30/2001 - 10/30/2002

DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)

NE

11/19/1999 - 06/30/2001

DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)

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Licenses & Designations

BC

Issued 11/30/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/09/2000

Series 4 - Registered Options Principal Examination

BC

Issued 03/02/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Douglas Willis Walker.
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