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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

JOHN MICHAEL WALKER

Advisor at STEPHENS

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fb69efd7-428b-cd34-1146-5a36a556aad1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 16, 1992 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: STEPHENS
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: Aug 26, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 26, 1983
First registration: Apr 16, 1992
Dual registered: yes, broker-dealer
Other names: JOHN WALKER|MIKE WALKER
IAPD individual key: 1164074

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
Stephens	Bd affiliated wealth	Dec 5, 2003	n/a	yes	CHARLOTTE, NC	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 16, 1992	Dec 11, 2003	no	CHARLOTTE, NC	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Stephens	Dec 11, 2003	Dec 5, 2003	-6	Firm change	Other

Relationships

Registered with (2)

→ STEPHENSRegistered adviserregistration: current employment
Dec 5, 2003 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 16, 1992 to Dec 11, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb69efd7-428b-cd34-1146-5a36a556aad1
First observed: Apr 16, 1992
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JOHN MICHAEL WALKER

Advisor at STEPHENS

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fb69efd7-428b-cd34-1146-5a36a556aad1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

Stephens

Bd affiliated wealth

Dec 5, 2003

n/a

yes

CHARLOTTE, NC

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Apr 16, 1992

Dec 11, 2003

CHARLOTTE, NC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Stephens

Dec 11, 2003

Dec 5, 2003

-6

Firm change

Other