Michael D. Walters

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CRD#: 1062699

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Douglas Walters, who also goes by Michael D Walters, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael D Walters

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 6, 2017 - September 13, 2019

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

TAMPA, FL

Past

February 3, 2017 - September 13, 2019

OPPENHEIMER & CO. INC.

CRD#: 249

TAMPA, FL

Past

December 22, 2009 - February 6, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TAMPA, FL

Past

December 18, 2009 - February 6, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TAMPA, FL

Past

June 1, 2009 - December 23, 2009

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 1, 2009 - December 23, 2009

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

Past

April 17, 1991 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

April 9, 1984 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

October 4, 1982 - December 27, 1983

HERETH, ORR & JONES, INC.

CRD#: 7210

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/8/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/1/1982

Municipal Securities Representative Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael D. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

HERETH, ORR & JONES, INC.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/1994

Series 63

Date: 10/4/1982

SIE

Date: 10/1/2018

Series 3

Date: 12/8/1988

Series 7

Date: 2/18/1984

Series 52

Date: 10/1/1982

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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