Michael David Walters
Professional Summary
Michael David Walters is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Grand Rapids, Michigan and USA FINANCIAL FORMULAS CORPORATION located in Ada, Michigan. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
PORTFORMULAS | USA FINANCIAL PORTFORMULAS CORPORATION | USA FINANCIAL FORMULAS, LLC. | USA FINANCIAL FORMULAS LLC | USA FINANCIAL FORMULAS CORPORATION | PORTFORMULAS INVESTING, LLC | PORTFORMULAS INVESTING CORPORATION
Contact Information
Main Address
6020 East Fulton Street, Ada, MI 49301Phone Number
(888) 407-8198# of Employees
38SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
7,489AUM (Assets Under Management)
$534,380,000Similar Advisors
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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.
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Primary Firm SEC Registration
PORTFORMULAS | USA FINANCIAL PORTFORMULAS CORPORATION | USA FINANCIAL FORMULAS, LLC. | USA FINANCIAL FORMULAS LLC | USA FINANCIAL FORMULAS CORPORATION | PORTFORMULAS INVESTING, LLC | PORTFORMULAS INVESTING CORPORATION
State Registrations and Notice Filings
(11/29/2001)
(3/31/2004)
(11/19/2002)
(7/24/2002)
(3/31/2004)
(3/31/2004)
(9/30/2002)
(5/21/2004)
(8/23/2001)
(2/25/2004)
(3/31/2004)
(3/6/2007)
(3/31/2004)
(5/13/2004)
(3/31/2004)
(10/30/2000)
(7/31/2000)
(3/26/2002)
(7/23/2001)
(3/31/2004)
(4/3/2002)
(9/9/2008)
(12/9/2002)
(8/22/2002)
(8/1/2000)
(12/4/2014)
(3/31/2004)
(11/7/2003)
(3/31/2004)
(4/14/2004)
(5/7/2004)
(8/7/2003)
(4/26/2006)
(3/28/2005)
(3/31/2004)
(1/21/2003)
(3/31/2004)
(7/27/2001)
(4/26/2004)
(5/23/2002)
(4/4/2002)
(10/22/2003)
(8/2/2002)
(3/15/2004)
(5/2/2002)
(4/6/2004)
(3/5/2019)
(3/31/2004)
(3/23/2007)
(6/28/2002)
(3/22/2004)
(1/7/2002)
(5/10/2002)
(8/15/2002)
(11/19/2002)
(4/23/2004)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1995About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1998About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael David Walters's CRS (Customer Relationship Summary).
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