Michael D. Walton

SAGE ADVISORY SERVICES LTD CO

Austin, TX 78735-6202

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CRD#: 2805516

Professional summary

Michael David Walton, AIF® is a registered financial advisor currently at SAGE ADVISORY SERVICES LTD CO located in Austin, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 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 Michael David 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 5, 2010 - Present

SAGE ADVISORY SERVICES LTD CO

Office #1: 5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

RIA

CRD#: 106236

Austin, TX

Past

March 13, 2009 - January 6, 2010

BROKERSXPRESS LLC

RIA

CRD#: 127081

HOUSTON, TX

Past

March 13, 2009 - January 6, 2010

BROKERSXPRESS LLC

CRD#: 127081

CHICAGO, IL

Past

August 1, 2007 - March 6, 2009

USF ADVISORS, LLC

RIA

CRD#: 130569

HOUSTON, TX

Past

August 1, 2007 - March 6, 2009

USF SECURITIES, L.P.

CRD#: 37942

HOUSTON, TX

Past

June 30, 2005 - August 6, 2007

AIM PRIVATE ASSET MANAGEMENT

RIA

CRD#: 109264

HOUSTON, TX

Past

November 18, 1996 - August 6, 2007

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

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".

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 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

Texas
(2/5/2010)

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: 6/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/29/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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Contact information

Main Address

5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

Mailing Address

Phone number

(512) 327-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE ADVISORY SERVICES LTD. CO. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	12,206
AUM (Assets Under Management)	$ 24,975,056,606

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael D. Walton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Walton's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKERSXPRESS LLC

BROKERSXPRESS LLC

USF ADVISORS, LLC

USF SECURITIES, L.P.

AIM PRIVATE ASSET MANAGEMENT

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

SAGE ADVISORY SERVICES LTD CO

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2005

Series 63

Date: 11/26/1996

Series 7

Date: 3/16/2006

Series 6

Date: 11/15/1996

Series 24

Date: 5/31/2006

Series 26

Date: 3/29/1999

Current Firm

SAGE ADVISORY SERVICES LTD CO

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE ADVISORY SERVICES LTD CO

TRUST BUT VERIFY

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