Walter R. Willms
Professional summary
Being a previously registered professional could mean that this person 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.
Walter Ray Willms, who also goes by Walt Willms, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1988. Walter had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2006 - October 20, 2008
APW CAPITAL, INC.
January 1, 2004 - December 31, 2005
CETERA ADVISORS LLC
April 7, 2003 - December 31, 2017
COMPREHENSIVE FINANCIAL PLANNING SERVICES CORP.
December 9, 1998 - December 31, 2002
COMPREHENSIVE FINANCIAL PLANNING SERVICES CORP.
January 1, 1996 - January 1, 2004
IFG NETWORK SECURITIES, INC.
February 4, 1994 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
September 29, 1988 - February 8, 1994
KLEIN, MAUS & SHIRE 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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
