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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-12-18 |
Branch Locations
611 N Tennessee St Suite B, Cartersville, GA 30120 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Cartersville | GA | 06/2014 | 12/2023 |
| Osaic | Cartersville | GA | 12/2023 | Present |
1. WALLING FINANCIAL GROUP POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 145 START DATE: 06/02/2014 ADDRESS: 611 N Tennessee St, Suite B, Cartersville GA 30120, United States DESCRIPTION: This is my DBA for securities business. I provide financial advice and trade securities on clients behalf.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-21 |
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