Terry P. Walters
Professional summary
Terry Phillip Walters was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Terry is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Terry had worked at 13 firms, which includes KAISER AND COMPANY, CAPITAL FINANCIAL SERVICES INC., GUNNALLEN FINANCIAL INC, SIGNATOR INVESTORS INC., TRANSAMERICA FINANCIAL ADVISORS LLC, FIRST ALLIED SECURITIES INC., INVEST FINANCIAL CORPORATION, INDEPENDENT FINANCIAL SECURITIES INC., CADARET GRANT & CO. INC., NATIONSSECURITIES, ESSEX CAPITAL MARKETS INC., THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK, MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2008 - December 2, 2008
KAISER AND COMPANY
February 8, 2006 - March 17, 2008
CAPITAL FINANCIAL SERVICES, INC.
February 8, 2006 - March 17, 2008
CAPITAL FINANCIAL SERVICES, INC.
April 21, 2005 - February 3, 2006
GUNNALLEN FINANCIAL, INC
April 13, 2005 - February 3, 2006
GUNNALLEN FINANCIAL, INC
July 18, 2001 - January 4, 2005
SIGNATOR INVESTORS, INC.
July 6, 2000 - June 19, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 20, 1999 - April 24, 2000
FIRST ALLIED SECURITIES, INC.
August 18, 1995 - September 27, 1999
INVEST FINANCIAL CORPORATION
December 21, 1994 - June 9, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
September 29, 1994 - February 13, 1995
CADARET, GRANT & CO., INC.
December 16, 1993 - July 30, 1994
NATIONSSECURITIES
June 2, 1993 - October 20, 1993
ESSEX CAPITAL MARKETS, INC.
September 22, 1992 - April 12, 1993
CADARET, GRANT & CO., INC.
February 25, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 25, 1988 - October 9, 1992
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KAISER AND COMPANY
CRD#: 14186 / SEC#: , 8-30295
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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