Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter Bradley Allen has been in the financial services industry since 1971. Currently, Walter Allen is registered with Principal Securities, Inc. Walter Allen is also registered in Delaware and Pennsylvania. Walter Allen has a Series 63 license and holds a SIE and Series 1 exam. Previously, Walter Allen was registered with CETERA FINANCIAL SPECIALISTS LLC, HOCHMAN & BAKER SECURITIES, INC., HORNOR, TOWNSEND & KENT, INC. and TRAVELERS EQUITIES SALES, INC.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
DE
02/14/2020 - Present
Principal Securities, Inc. (Wilmington DE)
DE
06/30/2004 - 11/30/2017
CETERA FINANCIAL SPECIALISTS LLC (WILMINGTON DE)
CT
09/11/2003 - 06/30/2004
HOCHMAN & BAKER SECURITIES, INC. (STAMFORD CT)
PA
02/03/1998 - 03/31/2003
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
PA
02/28/1995 - 12/16/1997
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
PA
12/11/1991 - 11/10/1994
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
CA
02/03/1971 - 12/11/1991
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
BC
Issued 07/27/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2017
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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