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Walter Hale Holden

Barclays Capital Inc.

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About Walter Hale Holden

Walter Hale Holden is an investment professional with over 20 years of experience in the financial services industry. Walter is currently a Registered Principal at Barclays Capital Inc., where he has been employed since 2006. Prior to joining Barclays Capital Inc., Walter held positions at Deutsche Bank Securities Inc. and Bear, Stearns & Co. Inc. Walter is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, Series 24, and Series 63 licenses.

Firm Information

Walter Holden is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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Walter Holden’s Registration & Firm History

NY

07/17/2006 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

04/30/2002 - 07/25/2006

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

07/24/2000 - 03/27/2002

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

12/10/1999 - 07/13/2000

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

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Licenses & Designations

BC

Issued 12/27/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/02/2017

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Walter Hale Holden.
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