Michael L. Walters
Professional summary
Michael Lawrence Walters was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 3 firms, which includes IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1991 - September 30, 2003
IDS LIFE INSURANCE COMPANY
April 25, 1991 - September 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 1987 - January 2, 1991
FORESTERS FINANCIAL SERVICES, INC.
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
Current Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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