Walter R. Altorfer
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 Rene Altorfer was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. Walter had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2012 - June 11, 2020
CAPITAL ANALYSTS
June 1, 2012 - December 31, 2018
LINCOLN INVESTMENT
June 1, 2012 - June 11, 2020
LINCOLN INVESTMENT
June 28, 2004 - June 1, 2012
CINCINNATI ANALYSTS, INC.
May 17, 2004 - June 1, 2012
CINCINNATI ANALYSTS, INC.
March 8, 1999 - May 14, 2004
MML INVESTORS SERVICES, LLC
December 19, 1996 - May 14, 2004
MML INVESTORS SERVICES, LLC
August 29, 1996 - December 5, 1996
IDS LIFE INSURANCE COMPANY
August 29, 1996 - December 5, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
