Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gerald? Claim Your ProfileGerald Stephan Walters has been in the securities industry since 2001. Currently, Gerald is a registered representative with Wells Fargo Securities, LLC in San Francisco, CA. Gerald has a broad range of experience in the financial services industry, with previous roles at Oppenheimer & Co. Inc., Morgan Keegan & Company, Inc., and J.P. Morgan Securities Inc. Gerald holds the Series 7, Series 24, Series 63, Series 99TO, Series 79TO and SIE licenses.
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.
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.
1
2
CA
12/14/2010 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
CA
09/11/2009 - 11/15/2010
OPPENHEIMER & CO. INC. (EAST PALO ALTO CA)
CA
04/15/2009 - 09/15/2009
MORGAN KEEGAN & COMPANY, INC. (SAN FRANCISCO CA)
CA
06/21/2000 - 07/31/2008
J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)
BC
Issued 03/05/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 07/20/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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