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KW

Kenneth S. Walters

Some features on this profile are disabled
CRD#: 2829643
KW

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.

Kenneth Scott Walters, who also goes by Ken Walters, Kenneth S Walters, Kenneth Walters, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1997. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Walters | Kenneth S Walters | Kenneth Walters

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)

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

February 26, 2018 - April 24, 2019

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

September 3, 2015 - April 20, 2016

REGISTER FINANCIAL ASSOCIATES, INC.

BD
CRD#: 30568
ATLANTA, GA
Past

April 22, 2014 - June 23, 2015

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

March 3, 2014 - June 23, 2015

ACG WEALTH INC.

RIA
CRD#: 150419
ATLANTA, GA
Past

June 1, 2009 - February 21, 2014

MORGAN STANLEY

RIA
CRD#: 149777
ATLANTA, GA
Past

June 1, 2009 - February 21, 2014

MORGAN STANLEY

BD
CRD#: 149777
ATLANTA, GA
Past

December 5, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ATLANTA, GA
Past

December 5, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ATLANTA, GA
Past

October 7, 2003 - December 16, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

October 3, 2003 - December 16, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ATLANTA, GA
Past

January 9, 1997 - October 7, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/7/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/1997
General Securities Representative Examination

Current Firm

IS
IFS SECURITIES
ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: , 8-49020

BD
Terminated by SEC on 02/28/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 09/21/1993
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event3
Arbitration1
Financial1

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.

Company Information

IFS SECURITIES

CRD#: 40375

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