Scott A. Walton

WALTON FINANCIAL

BIRMINGHAM, AL 35209

Some features on this profile are disabled

CRD#: 2315752

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Andrew Walton'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

June 27, 2024 - Present

WALTON FINANCIAL

Office #1: 2564 18th Street South, Birmingham, AL 35209

RIA

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

CRD#: 8032

BIRMINGHAM, AL

Past

May 24, 1996 - November 15, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 25, 1993 - June 13, 1996

MORGAN STANLEY DW INC.

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".

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)

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: 7/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/17/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2002

General Securities Principal Examination

Current Firm

WALTON FINANCIAL

CRD#: 331634 / SEC#: 801-130481

RIA

Registered Investment Advisory firm - (6/14/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WALTON ADV 2A FEBRUARY 2026 (2/6/2026)

Regulatory assets under management

Total Number of Accounts	526
AUM (Assets Under Management)	$ 182,903,769

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

SCOTTSDALE, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott A. Walton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Andrew Walton's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WALTON FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1994

Series 63

Date: 4/23/1993

SIE

Date: 10/1/2018

Series 31

Date: 6/17/1993

Series 7

Date: 2/22/1993

Series 24

Date: 11/15/2002

Current Firm

WALTON FINANCIAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALTON FINANCIAL

TRUST BUT VERIFY

Similar Advisors