SW
Scott A. Walton
WALTON FINANCIAL
BIRMINGHAM, AL 35209
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CRD#: 2315752
SW
Professional summary
Scott Andrew Walton is a registered financial advisor currently at WALTON FINANCIAL located in Birmingham, Alabama.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Scott has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Fixed insurance sales - fixed life (term life), health insurance, disability insurance, and long term care insurance, as of 01/2000; approximately 1% time spent during business hours; conducted at branch location; investment related. 2. SURR Realty, LLC - sole member of entity created to own branch office building, as of 09/21/2004, less than 1% of time spent during business hours, conducted at branch, investment related. 3. BBQ Digest, Inc. - author and 25% owner of entity created to publish cookbooks, as of 2009, 1% of time spent during business hours, not at branch location, not investment related. 4. Montgomery Building, LLC, Sole owner of entity created to own branch office building, as of 2014, investment related, at branch location. 5. Co-authoring book with spouse, as of 2016, approximately 10% of time during business hours, not investment related. conducted from branch location.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Walton'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®
NoneExperience
Current
June 27, 2024 - Present
WALTON FINANCIAL
Office #1: 2564 18th Street South, Birmingham, AL 35209RIA
CRD#: 331634
BIRMINGHAM, AL
Past
November 23, 2001 - July 1, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
BIRMINGHAM, AL
Past
November 10, 1999 - July 1, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
BIRMINGHAM, AL
Past
May 24, 1996 - November 15, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 25, 1993 - June 13, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
WF
WALTON FINANCIAL
WALTON FINANCIAL
CRD#: 331634 / SEC#: 801-130481
RIA
Registered Investment Advisory firm - (6/14/2024 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
Alabama(6/27/2024)
IAR
Texas(6/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WF
WALTON FINANCIAL
WALTON FINANCIAL
CRD#: 331634 / SEC#: 801-130481
RIA
Registered Investment Advisory firm - (6/14/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2564 18th Street South, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-0154
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 524 |
| AUM (Assets Under Management) | $ 160,825,174 |
Red Flags
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Company Information
WALTON FINANCIAL
CRD#: 331634Birmingham, AL 35209TRUST BUT VERIFY
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