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Walter Kenneth Smith

Nasdaq Execution Services, LLC

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About Walter Kenneth Smith

Walter Kenneth Smith is a financial professional with over 30 years of experience in the financial services industry. Walter currently works at Nasdaq Execution Services, LLC. Walter has held previous positions with NASDAQ OPTIONS SERVICES, LLC and VANGUARD MARKETING CORPORATION. Walter has a Series 63, Series 7 and Series 6 licenses.

Firm Information

Walter Smith is currently registered with Nasdaq Execution Services, LLC. Nasdaq Execution Services, LLC is a Limited Liability Company formed in November 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has 10 regulatory events on file.

Not reported

Assets Under Management

Not reported

Total Clients

36

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 Smith’s Registration & Firm History

PA

12/10/2013 - Present

Nasdaq Execution Services, LLC (PHILADELPHIA PA)

NY

09/15/2010 - 04/08/2014

NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)

PA

12/17/1992 - 05/16/1995

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 09/08/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/2000

Series 7 - General Securities Representative Examination

BC

Issued 12/15/1992

Series 6 - Investment Company Products/Variable Contracts 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

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, 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 Kenneth Smith.
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