Walter J. Reyna

WALTER J. REYNA

Mcallen, TX 78504

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CRD#: 1323478

Professional summary

Walter James Reyna, CFP® is a registered financial advisor currently at WALTER J. REYNA, INC. located in Mcallen, Texas and J.W. COLE FINANCIAL, INC. located in Mcallen, Texas.

Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Walter has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

What is your minimum asset requirement?

100K

Are you a "fiduciary"?

Yes

Aliases

None

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) WALTER J. REYNA, INC.; DBA; Investment Related; 5315 North McColl, McAllen, TX 78504; Vice President; DBA outside RIA and Fixed Insurance; Securities, Insurance Services, Financial Planning; Start date 1/2001 - DBA, 9/2007 - RIA; 75 hours/mo, 75 hr/mo during trading. 2) RSTEF (Rio South Texas Economic Foundation); Investment Related; 801 Bryan Rd, #167, Mission, TX 78572; Economic Development; Board member, voting on issues, there is an investment account managed by a broker dealer affiliated with a bank, I do not provide investment advice; Start 7/1/2022; 0 hours/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter James Reyna'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^®

Certified Financial Planner

Start date: 1989

Experience

Current

January 18, 2011 - Present

WALTER J. REYNA, INC.

Office #1: 5315 N. Mccoll, Mcallen, TX 78504

RIA

CRD#: 141173

Mcallen, TX

Current

March 17, 2022 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 5315 N. Mccoll Road, Mcallen, TX 78504

CRD#: 124583

Mcallen, TX

Past

September 11, 2018 - March 18, 2022

OSAIC FS, INC.

RIA

CRD#: 3870

MCALLEN, TX

Past

September 20, 2006 - December 31, 2010

WALTER J. REYNA, INC.

RIA

CRD#: 141173

MCALLEN, TX

Past

June 2, 2000 - October 1, 2003

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

MC ALLEN, TX

Past

February 28, 1985 - May 10, 2007

OSAIC FS, INC.

RIA

CRD#: 3870

MCALLEN, TX

Past

February 27, 1985 - March 18, 2022

OSAIC FS, INC.

CRD#: 3870

MCALLEN, TX

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.

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

Colorado
(3/17/2022)

IAR

Texas
(1/18/2011)

Texas
(3/17/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WALTER J. REYNA, INC.

CRD#: 141173 / SEC#: 801-67118

RIA

Registered Investment Advisory firm - (6/6/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (2/6/2023 Approved)

Texas

Registered Investment Advisory firm - (6/5/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

5315 N. Mccoll, Mcallen, TX 78504

Mailing Address

Phone number

(956) 682-4196

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	313
AUM (Assets Under Management)	$ 74,760,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Walter J. Reyna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter James Reyna's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

OSAIC FS, INC.

WALTER J. REYNA, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1999

Series 6

Date: 2/26/1985

Series 24

Date: 1/10/2002

FINRA

Current Firm

WALTER J. REYNA, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WALTER J. REYNA, INC.

TRUST BUT VERIFY

Contact information

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