Walter K. Chapman
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.
Walter Kent Chapman, who also goes by Walter K Chapman, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1983. Walter had worked at 7 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - January 6, 2021
KESTRA ADVISORY SERVICES, LLC
December 21, 2005 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
December 16, 2005 - January 6, 2021
KESTRA INVESTMENT SERVICES, LLC
October 10, 2002 - December 15, 2005
VALMARK SECURITIES, INC.
September 27, 2002 - March 22, 2006
CHAPMAN & CHAPMAN ADVISORS LLC
April 12, 1999 - October 30, 2002
NATHAN & LEWIS SECURITIES, INC.
October 15, 1993 - April 12, 1999
VOYA FINANCIAL PARTNERS, LLC
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 7/23/1976
Non-Member General Securities ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
