AdFi
JM

James Michael Walker

Investment Adviser Representative at SUNBELT SECURITIES

HOUSTON, TXCRD #1456393Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
1 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Texas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/12/2010
Series 63
Uniform Securities Agent State Law Examination
Passed 2/3/2005
Series 4
Registered Options Principal Examination
Passed 7/10/2014
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 4/17/2014
Series 99TO
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/18/2005
Series 2
Non-Member General Securities Examination
Passed 5/29/1992

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

SUNBELT SECURITIES Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SUNBELT SECURITIES, INC.Current
10/8/2020HOUSTON, TX
AWM SERVICES, LLC
2/20/201411/19/2020HOUSTON, TX
SUNBELT SECURITIES, INC.
1/19/20053/14/2014HOUSTON, TX

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Michael Walker has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James Michael Walker - Financial Advisor in HOUSTON, TX | AdvisorFinder