Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter K. Plunkett is a financial professional with over 29 years of experience in the industry. Walter is a registered representative of Stifel, Nicolaus & Company, Inc. Walter has a Series 7 and Series 63 license and holds the SIE designation. Walter has been associated with Stifel, Nicolaus & Company, Inc. since March 15, 2019. Prior to joining Stifel, Nicolaus & Company, Inc. Walter worked at First Empire Securities, Inc. and BT ALEX. BROWN INCORPORATED. Walter has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Walter provides a range of financial services, including portfolio management, financial planning, and investment advisory services. Walter is committed to providing his clients with personalized financial advice and guidance.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
03/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
11/25/1998 - 03/15/2019
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
MD
06/05/1995 - 12/07/1998
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
03/25/1994 - 05/11/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
BC
Issued 07/27/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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