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Arnold John Walters Jr

CRD# 1576358·Registered 1986 - 2016
Previously Registered: Being a previously registered professional could mean that Arnold 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.

Professional Summary

Arnold John Walters JR, who also goes by John Walters Jr, was a registered financial advisor. Arnold was a previously registered financial professional and started their career in finance 1986 - 2016. Arnold had worked at 5 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Walters Jr

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

EXECUTIVE WEALTH MANAGEMENT·CRD# 281667
RIA
Lincoln, NE
November 30, 2015 - November 15, 2016
LPL FINANCIAL LLC·CRD# 6413
RIA
Lincoln, NE
August 20, 2010 - February 4, 2016
LPL FINANCIAL LLC·CRD# 6413
BD
Lincoln, NE
August 13, 2010 - November 30, 2016
SMITH HAYES ADVISERS INC·CRD# 110776
RIA
Lincoln, NE
March 19, 1999 - August 17, 2010
SMITH HAYES FINANCIAL SERVICES CORPORATION·CRD# 17059
BD
Lincoln, NE
March 27, 1987 - August 17, 2010
FIRSTIER SECURITIES, INC.·CRD# 17714
BD
October 22, 1986 - March 23, 1987

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Current Firm

EW
EXECUTIVE WEALTH MANAGEMENT

EXECUTIVE WEALTH MANAGEMENT | EXECUTIVE WEALTH MANAGEMENT LTD

CRD#: 281667 / SEC#: 801-106910

Contact Information

Main Address

6940 "o" St., Suite 300, Lincoln, NE 68510

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (3/14/2017)

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2016About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Jul 1996About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Oct 1986About the Series 7 exam

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CRS (Client Relationship Summary)

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

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