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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joe? Claim Your ProfileJoe Arnold Walker is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Houston, TX. Joe Walker has been in the securities industry since 1989 and has worked for North American Institutional Brokers in Ft. Lauderdale, FL as well as Merrill Lynch, Pierce, Fenner & Smith Inc. in Houston, TX. Joe Walker holds a Series 3, Series 7, Series 9, Series 10, Series 63 and Series 65 license, as well as the SIE exam. Joe Walker specializes in working with individuals, corporations or businesses, high net worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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
TX
10/25/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
FL
08/22/1989 - 10/04/1990
NORTH AMERICAN INSTITUTIONAL BROKERS (FT. LAUDERDALE FL)
IA
Issued 01/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/10/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/1991
Series 3 - National Commodity Futures Examination
BC
Issued 08/19/1989
Series 7 - General Securities 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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