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DW

David A. Walters

MOODY CAPITAL SOLUTIONS,
Atlanta, GA
Some features on this profile are disabled
CRD#: 1436760
DW

Professional summary

David Allen Walters, who also goes by Dave Walters, is a registered financial advisor currently at MOODY CAPITAL SOLUTIONS, INC located in Atlanta, Georgia.

David is registered as a RR (Registered Representative) and started their career in finance in 1985. David has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7TO, Series 7, Series 15, Series 5, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave 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) - BD

Click below to view David Allen Walters's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 20, 2024 - Present

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
Atlanta, GA
Past

October 17, 2023 - January 2, 2024

R. F. LAFFERTY & CO., INC.

BD
CRD#: 2498
NEW YORK, NY
Past

March 28, 2019 - September 21, 2019

HB SECURITIES, LLC

BD
CRD#: 140356
Laguna Beach, CA
Past

June 29, 2017 - November 19, 2018

AGES FINANCIAL SERVICES, LTD.

BD
CRD#: 15427
Laguna Beach, CA
Past

June 3, 2015 - July 18, 2017

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

December 18, 2014 - May 28, 2015

DETWILER FENTON WEALTH MANAGEMENT INC

BD
CRD#: 16063
BOSTON, MA
Past

January 19, 2007 - November 14, 2014

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
NEWPORT BEACH, CA
Past

September 2, 2003 - December 31, 2005

AMARA CAPITAL MANAGEMENT LLC

RIA
CRD#: 120180
ALISO VIEJO, CA
Past

January 26, 2001 - February 1, 2007

DOHERTY & COMPANY, LLC

BD
CRD#: 47984
LOS ANGELES, CA
Past

December 7, 1992 - September 21, 2000

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

May 10, 1989 - March 11, 1991

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 19, 1985 - June 3, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

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

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
(2/20/2024)
RR
New York
(3/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/18/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/17/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 15
Date: 12/18/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 12/9/1985
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/6/2006
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/5/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MOODY CAPITAL SOLUTIONS, INC
MIDSOUTH CAPITAL MARKETS GROUP | REDCHIP SECURITIES, INC. | PENN CENTER INVESTMENTS, INC. | MOODY CAPITAL SOLUTIONS, INC. | MOODY CAPITAL SOLUTIONS, INC | MOODY CAPITAL SOLUTION, INC.

CRD#: 15989 / SEC#: , 8-32928

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2458 Dunkerrin Lane, Atlanta, GA 30360
Mailing Address
2458 Dunkerrin Lane, Atlanta, GA 30360
Phone number
(770) 377-3556
Established
Pennsylvania since 10/15/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTH FOUNTAIN HOLDINGS, INC.OWNER
KREGER, RICHARD HENRICEO2647135
LENART, BRIAN DOUGLASFINOP/PFO/POO736107
ROSENSTEIN, ROBERT LLOYDPRESIDENT/CCO2195737

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.

Company Information

MOODY CAPITAL SOLUTIONS, INC

CRD#: 15989Atlanta, GA

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