Walter J. Law

Some features on this profile are disabled

CRD#: 2408379

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Walter Joseph Law III was a registered financial professional .

Walter is a previously registered financial professional and started their career in finance in 1997. Walter had worked at 4 firms and has passed the Series 65, Series 66, Series 7 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?

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.

Walter Joseph Law III is a part time Loan Officer at Maxelle Mortgage.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 30, 2019 - January 6, 2023

STRATEGIC WEALTH INVESTMENT GROUP, LLC

RIA

CRD#: 165474

Mason, OH

Past

August 16, 2016 - July 10, 2018

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

Hebron, KY

Past

November 30, 2004 - September 14, 2006

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

September 24, 2003 - September 14, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

June 28, 1999 - September 16, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CINCINNATI, OH

Past

December 15, 1997 - September 16, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

STRATEGIC WEALTH INVESTMENT GROUP, LLC

STRATEGIC WEALTH DESIGNERS | STRATEGIC WEALTH INVESTMENT GROUP, LLC | STRATEGIC WEALTH DESIGNERS, LLC

CRD#: 165474 / SEC#: 801-117642

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Indiana

Registered Investment Advisory firm - (11/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/25/2019 Terminated)

Ohio

Registered Investment Advisory firm - (11/20/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/16/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/9/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/12/1997

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 10/13/1993

Corporate Securities Limited Representative Examination

Current Firm

STRATEGIC WEALTH INVESTMENT GROUP, LLC

STRATEGIC WEALTH DESIGNERS | STRATEGIC WEALTH INVESTMENT GROUP, LLC | STRATEGIC WEALTH DESIGNERS, LLC

CRD#: 165474 / SEC#: 801-117642

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Indiana

Registered Investment Advisory firm - (11/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/25/2019 Terminated)

Ohio

Registered Investment Advisory firm - (11/20/2019 Terminated)

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

Louisville, KY

Mailing Address

Phone number

(502) 412-3354

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/30/2025)

Regulatory assets under management

Total Number of Accounts	7,626
AUM (Assets Under Management)	$ 1,110,956,980

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Walter J. Law

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ORION PORTFOLIO SOLUTIONS, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STRATEGIC WEALTH INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2016

Series 66

Date: 2/9/1998

Series 7

Date: 12/12/1997

Series 62

Date: 10/13/1993

Current Firm

STRATEGIC WEALTH INVESTMENT GROUP, LLC

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors