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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Scott James Walker

Advisor at W&S BROKERAGE SERVICES, INC.

Las Vegas, NV

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Aug 9, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: W&S BROKERAGE SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 11, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 11, 2004
First registration: Aug 9, 2004
Dual registered: yes, broker-dealer
Other names: SCOTT J WALKER|SCOTT WALKER|SCOTT JAMES WALKER
IAPD individual key: 1673698

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
W&S BROKERAGE SERVICES, INC.	Bd affiliated wealth	Mar 19, 2026	n/a	yes	Las Vegas, NV	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 15, 2025	Jul 16, 2025	no	ANAHEIM, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 13, 2023	May 15, 2025	no	Anaheim, CA\|SAN DIEGO, CA\|Anaheim, CA	Previous registration
WESCOM FINANCIAL SERVICES, LLC	Former SEC adviser	May 29, 2018	Feb 6, 2023	no	PASADENA, CA\|Anaheim, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Apr 4, 2017	Jun 22, 2017	no	LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 16, 2012	Jan 18, 2017	no	CERRITOS, CA\|NEW YORK, NY\|CERRITOS, CA\|CERRITOS, CA\|CERRITOS, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 2, 2010	Nov 21, 2011	no	BEVERLY HILLS, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 2, 2010	Nov 21, 2011	no	Beverly Hills, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Feb 13, 2007	Jul 27, 2009	no	HAWTHORNE, CA\|LAWNDALE, CA\|RENTON, WA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 3, 2006	Feb 13, 2007	no	GARDENA, CA\|COMPTON, CA\|COMPTON, CA\|CARSON, CA\|CARSON, CA	Previous registration
DFC INVESTOR SERVICES	n/a	Jun 23, 2005	Sep 14, 2005	no	CLAREMONT, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Mar 21, 2005	Jun 17, 2005	no	VICTORVILLE, CA	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Aug 9, 2004	Mar 4, 2005	no	NAPA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	W&S BROKERAGE SERVICES, INC.	Jul 16, 2025	Mar 19, 2026	246	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
WESCOM FINANCIAL SERVICES, LLC	CUSO FINANCIAL SERVICES, L.P.	Feb 6, 2023	Jan 13, 2023	-24	Firm change	RIA to ibd
CUSO FINANCIAL SERVICES, L.P.	WESCOM FINANCIAL SERVICES, LLC	Jun 22, 2017	May 29, 2018	341	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CUSO FINANCIAL SERVICES, L.P.	Jan 18, 2017	Apr 4, 2017	76	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 21, 2011	Aug 2, 2010	-476	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 21, 2011	Aug 2, 2010	-476	Firm change after gap	Other
CUSO FINANCIAL SERVICES, L.P.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 27, 2009	Aug 2, 2010	371	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	CUSO FINANCIAL SERVICES, L.P.	Feb 13, 2007	Feb 13, 2007	0	Firm change	Other
DFC INVESTOR SERVICES	WELLS FARGO INVESTMENTS, LLC	Sep 14, 2005	Jan 3, 2006	111	Firm change	Other
WAMU INVESTMENTS, INC.	DFC INVESTOR SERVICES	Jun 17, 2005	Jun 23, 2005	6	Firm change	Other
ESSEX NATIONAL SECURITIES, INC.	WAMU INVESTMENTS, INC.	Mar 4, 2005	Mar 21, 2005	17	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 13, 2023	ANAHEIM, CA	Firm change

Relationships

Registered with (11)

→ W&S BROKERAGE SERVICES, INC.Registered adviserregistration: current employment
Mar 19, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 15, 2025 to Jul 16, 2025factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 13, 2023 to May 15, 2025factForm ADV
→ WESCOM FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 29, 2018 to Feb 6, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 16, 2012 to Jan 18, 2017factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 2, 2010 to Nov 21, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 2, 2010 to Nov 21, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 3, 2006 to Feb 13, 2007factForm ADV
→ DFC INVESTOR SERVICESRegistered adviserregistration: previous registration
Jun 23, 2005 to Sep 14, 2005factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Mar 21, 2005 to Jun 17, 2005factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Aug 9, 2004 to Mar 4, 2005factForm ADV

Dated events

Occurred
Jul 16, 2025
Advisor changed firm
Scott James Walker left Lpl Financial Llc for W&S Brokerage Services, Inc. (registered 2026-03-19)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2023
Advisor changed firm
Scott James Walker left Wescom Financial Services, Llc for Cuso Financial Services, L.P. (registered 2023-01-13)
Form ADVobserved 6 days ago