WW
William R. Walters
FOUNDERS FINANCIAL SECURITIES LLC
Chadds Ford, PA 19317
Some features on this profile are disabled
CRD#: 1112873
WW
Professional summary
William R Walters III, CFP®, who also goes by Bill Walters, William Roy Walters III, William Roy Walters, is a registered financial advisor currently at FOUNDERS FINANCIAL SECURITIES LLC located in Chadds Ford, Pennsylvania.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Walters | William Roy Walters Iii | William Roy 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.
1) Wealth Planning Group, LLC; Investment Related; 133 Commons Court; Chads Ford, PA 19317; Start Date: 01/2008; Insurance Broker; 20 Hrs. per month; Insurance brokerage, Fixed Insurance 2) 133 Commons Court, LLC; Non-Investment Related; 133 Commons Court Chadds Ford, PA 19317; Start Date: 07/2005; Owner; 2 Hrs. per month; responsible for renting properties to Wealth Planning Group, collecting rent and maintaining building
CRS (Client Relationship Summary) - RIA
Click below to view William R Walters III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William R Walters III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Current
June 14, 2010 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 133 Commons Court, Chadds Ford, PA 19317RIA
BD
CRD#: 137945
Chadds Ford, PA
Current
May 24, 2010 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 133 Commons Court, Chadds Ford, PA 19317RIA
BD
CRD#: 137945
Chadds Ford, PA
Past
January 8, 2008 - May 25, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
WILMINGTON, DE
Past
January 8, 2008 - May 25, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
WILMINGTON, DE
Past
August 16, 2004 - January 14, 2008
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WILMINGTON, DE
Past
August 16, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WILMINGTON, DE
Past
August 16, 2004 - January 14, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WILMINGTON, DE
Past
January 15, 1992 - August 25, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
WILMINGTON, DE
Past
August 31, 1989 - August 25, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 5, 1989 - July 18, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
January 27, 1987 - April 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
June 30, 1986 - February 11, 1987
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
April 14, 1983 - July 21, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
April 14, 1983 - July 22, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/22/2016)
RR
Delaware(6/14/2010)
RR
Florida(11/2/2010)
RR
Maryland(5/24/2010)
RR
New Jersey(5/24/2010)
RR
Pennsylvania(5/24/2010)
IAR
Pennsylvania(7/28/2015)
RR
South Carolina(7/6/2022)
IAR
Texas(6/30/2022)
RR
Virginia(1/18/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Mailing Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Phone number
(410) 308-9988
Established
Maryland since 09/21/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
141
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,774 |
| AUM (Assets Under Management) | $ 3,317,831,000 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 07/29/2024 | ||
| 09/20/2023 | ||
| 11/07/2022 |
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.
