DW
David A. Walters
SPC
London, KY 40744
Some features on this profile are disabled
CRD#: 2220470
DW
Professional summary
David Anthony Walters, AIF®, CLU®, who also goes by Tony Walters, is a registered financial advisor currently at SPC located in London, Kentucky and PARKLAND SECURITIES, LLC located in London, Kentucky.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Walters
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.
1) DBA - Cardinal Insurance & Financial Services Inc., London, KY. President - fixed insurance business to sell and service group and individual medical, life, disability, dental and vision insurance. Also the sale of Medicare supplement policies. Start date: 3/26/96, approx. 120 hr/mo with 80% during mkt hrs. INV REL: Y
2) As an independently licensed insurance agent, I am appointed with various
insurance companies.
CRS (Client Relationship Summary) - RIA
Click below to view David Anthony Walters's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 3, 2019 - Present
SPC
Office #1: 322 Combs Circle, London, KY 40744RIA
CRD#: 110692
London, KY
Current
June 3, 2019 - Present
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
London, KY
Past
January 25, 2018 - June 7, 2019
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Lexington, KY
Past
January 25, 2018 - June 7, 2019
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Lexington, KY
Past
September 16, 2013 - January 25, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
LONDON, KY
Past
March 17, 2011 - January 25, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
September 23, 2009 - March 16, 2011
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
LONDON, KY
Past
November 8, 2002 - September 23, 2009
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
LONDON, KY
Past
December 20, 2001 - October 24, 2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
COLORADO SPRINGS, CO
Past
April 24, 2000 - December 20, 2001
RICHARD B. VANCE & COMPANY
BD
CRD#: 3656
JOLIET, IL
Past
May 21, 1999 - April 25, 2000
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
May 4, 1999 - May 13, 1999
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
Past
June 16, 1998 - April 30, 1999
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
September 30, 1993 - June 19, 1998
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
April 20, 1992 - April 7, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 20, 1992 - April 7, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/3/2019)
RR
Indiana(4/17/2025)
RR
Kentucky(6/3/2019)
IAR
Kentucky(6/3/2019)
RR
Ohio(6/3/2019)
RR
Tennessee(6/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
