Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gaines? Claim Your ProfileGaines Walker is a financial advisor with over 30 years of experience in the financial services industry. Gaines is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Gaines is a Registered Representative and Investment Advisor Representative, holding Series 7, 24, 27, 31, 63, 65, 99TO and SIE licenses. Gaines' specialties include portfolio management, financial planning, retirement planning, and estate planning. Gaines has a strong commitment to providing personalized financial advice to his clients.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TN
02/16/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KNOXVILLE TN)
TN
09/25/1996 - 09/21/2004
SECURITIES SERVICE NETWORK, INC. (KNOXVILLE TN)
TN
12/21/1994 - 09/04/1996
EQUITY FINANCIAL CORPORATION (KNOXVILLE TN)
TN
10/05/1992 - 11/12/1993
EQUITY FINANCIAL CORPORATION (KNOXVILLE TN)
TN
04/09/1981 - 10/20/1992
A. C. MASINGILL & ASSOCIATES, INC. (KNOXVILLE TN)
IA
Issued 12/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/1995
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/08/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/20/1994
Series 7 - General Securities Representative Examination
BC
Issued 06/09/1980
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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