Beverly J. Walters
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.
Beverly Joann Walters, CFP®, who also goes by Beverly Joann Goforth, Beverly Joann Rains, was a registered financial professional .
Beverly is a previously registered financial professional and started their career in finance in 1996. Beverly had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 4, 2004 - July 13, 2018
STRATEGIC ADVISERS LLC
September 29, 2004 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
January 14, 2003 - June 10, 2003
STRATEGIC ADVISERS LLC
January 10, 2001 - June 10, 2003
FIDELITY BROKERAGE SERVICES LLC
August 14, 1996 - September 15, 2000
IDS LIFE INSURANCE COMPANY
August 14, 1996 - September 15, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 7TO
Date: 12/6/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
