Mark C. Walter
Professional summary
Mark Curtis Walter is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Westlake Village, California and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Curtis Walter's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2025 - Present
IP FINANCIAL ADVISORY SERVICES LLC
Office #1: 2829 Townsgate Rd. Ste. 100, Westlake Village, CA 91361June 2, 2025 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210October 21, 2013 - June 3, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
October 18, 2013 - June 3, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
October 1, 2012 - October 21, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 21, 2013
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 23, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
March 24, 2000 - May 2, 2009
WAMU INVESTMENTS, INC.
October 15, 1997 - March 21, 2000
BNY MELLON SECURITIES CORPORATION
February 13, 1997 - October 23, 1997
ALLIANCE ADVISORY & SECURITIES, INC.
September 8, 1995 - January 20, 1997
GRIFFIN FINANCIAL SERVICES
June 26, 1989 - September 1, 1995
METROPOLITAN LIFE INSURANCE COMPANY
June 26, 1989 - September 1, 1995
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/2/2025)
(6/20/2025)
(6/2/2025)
(6/2/2025)
Exams
FINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772Westlake Village, CA 91361TRUST BUT VERIFY
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