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Herbert Walton

Tradestation Securities, Inc.

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About Herbert Walton

Herbert Walton is a financial advisor with over 23 years of experience in the financial services industry. He is currently registered with Tradestation Securities, Inc. in Plantation, FL. Herbert has held previous positions at Altruist Financial LLC in Culver City, CA and Neuberger Berman, LLC in New York, NY. Herbert is a licensed Series 63, Series 65, Series 7, Series 3, Series 14, Series 24, and Series 30 representative. Herbert is currently licensed in Florida.

Firm Information

Herbert Walton is currently registered with Tradestation Securities, Inc.. Tradestation Securities, Inc. is a Corporation that was formed on September 7, 1995. The firm is registered with the SEC and is also registered in 52 states.

Not reported

Assets Under Management

Not reported

Total Clients

78

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.

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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Herbert Walton’s Registration & Firm History

FL

04/09/2024 - Present

Tradestation Securities, Inc. (PLANTATION FL)

CA

08/03/2021 - 03/22/2024

ALTRUIST FINANCIAL LLC (CULVER CITY CA)

FL

08/05/2004 - 06/18/2021

TRADESTATION SECURITIES, INC. (PLANTATION FL)

NY

01/02/2001 - 07/26/2004

NEUBERGER BERMAN, LLC (NEW YORK NY)

NY

11/26/1999 - 11/03/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/10/2000

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/29/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/12/2008

Series 14 - Compliance Officer Examination

BC

Issued 01/12/2005

Series 30 - NFA Branch Manager Examination

BC

Issued 11/17/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2004

Series 3 - National Commodity Futures Examination

BC

Issued 11/24/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Herbert Walton.
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