James L. Walter

FOUNDERS CAPITAL MANAGEMENT

Houston, TX 77027-3416

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CRD#: 2265342

Professional summary

James Lincoln Walter, who also goes by James L Walter, Jamie Walter, is a registered financial advisor currently at FOUNDERS CAPITAL MANAGEMENT INC located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James L Walter | Jamie Walter

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lincoln Walter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 6, 2012 - Present

FOUNDERS CAPITAL MANAGEMENT INC

Office #1: 4400 Post Oak Parkway Suite 2530, Houston, TX 77027-3416

RIA

CRD#: 111164

Houston, TX

Past

January 29, 2010 - January 24, 2012

SHAMROCK EQUITY ADVISORS, INC.

RIA

CRD#: 139693

HOUSTON, TX

Past

May 4, 2006 - December 31, 2009

SHAMROCK EQUITY ADVISORS, INC.

RIA

CRD#: 139693

HOUSTON, TX

Past

January 16, 2003 - July 19, 2006

LIGHTHOUSE CAPITAL MANAGEMENT INC

RIA

CRD#: 105843

HOUSTON, TX

Past

October 4, 2002 - May 9, 2006

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

September 1, 1993 - August 21, 2002

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SUGAR LAND, TX

Past

August 30, 1993 - August 21, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 19, 1992 - August 19, 1993

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

FOUNDERS CAPITAL MANAGEMENT INC

CRD#: 111164 / SEC#: 801-48364

RIA

Registered Investment Advisory firm - (1/31/1995 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(2/6/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/25/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FOUNDERS CAPITAL MANAGEMENT INC

CRD#: 111164 / SEC#: 801-48364

RIA

Registered Investment Advisory firm - (1/31/1995 Approved)

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Contact information

Main Address

4400 Post Oak Parkway Suite 2530, Houston, TX 77027-3416

Mailing Address

Phone number

(713) 877-1188

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FCMI ADV PART 2A 2024 (1/15/2025)

FCMI ADV PART 2B 2024 (1/15/2025)

Regulatory assets under management

Total Number of Accounts	126
AUM (Assets Under Management)	$ 241,266,780

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James L. Walter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lincoln Walter's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHAMROCK EQUITY ADVISORS, INC.

SHAMROCK EQUITY ADVISORS, INC.

LIGHTHOUSE CAPITAL MANAGEMENT INC

QUASAR DISTRIBUTORS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

FOUNDERS CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2005

Series 63

Date: 9/25/1992

Series 7

Date: 8/17/1992

Series 8

Date: 1/25/1995

Current Firm

FOUNDERS CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNDERS CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

Contact information

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