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BW

Beth V. Walker

EXCEPTIONAL WEALTH & FAMILY OFFICE
COLORADO SPRINGS, CO 80903
Some features on this profile are disabled
CRD#: 3115536
BW
Beth Vivian WalkerEXCEPTIONAL WEALTH & FAMILY OFFICE

Professional summary

Beth Vivian Walker, who also goes by Beth Ann VIvian, Beth A Walker, Beth Ann Walker, is a registered financial advisor currently at EXCEPTIONAL WEALTH & FAMILY OFFICE located in Colorado Springs, Colorado.

Beth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Beth has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Beth Ann Vivian | Beth A Walker | Beth Ann Walker

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 Beth Vivian Walker'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®
None

Experience

Current

June 30, 2026 - Present

EXCEPTIONAL WEALTH & FAMILY OFFICE

Office #1: 422 East Vermijo Avenue, Suite 200a, Colorado Springs, CO 80903
RIA
CRD#: 340444
COLORADO SPRINGS, CO
Past

August 26, 2019 - July 14, 2026

CWM, LLC

RIA
CRD#: 155344
Colorado Springs, CO
Past

August 26, 2019 - April 7, 2022

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
COLORADO SPRINGS, CO
Past

January 14, 2015 - February 1, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
LAS VEGAS, NV
Past

November 18, 2014 - September 3, 2019

THE WEALTH CONSULTING GROUP

RIA
CRD#: 173194
COLORADO SPRINGS, CO
Past

November 12, 2014 - September 16, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
LAS VEGAS, NV
Past

June 20, 2008 - November 20, 2014

NEW ENGLAND SECURITIES

RIA
CRD#: 615
LAS VEGAS, NV
Past

June 20, 2008 - November 20, 2014

NEW ENGLAND SECURITIES

BD
CRD#: 615
LAS VEGAS, NV
Past

December 8, 2003 - July 3, 2008

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
LAS VEGAS, NV
Past

December 8, 2003 - July 3, 2008

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LAS VEGAS, NV
Past

August 1, 2001 - December 19, 2003

OSAIC FA, INC.

RIA
CRD#: 3978
LAS VEGAS, NV
Past

August 1, 2001 - December 19, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 1, 2001 - December 19, 2003

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

April 25, 2000 - July 23, 2001

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

September 17, 1998 - April 26, 2000

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

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
Colorado
(6/30/2026)
IAR
Texas
(6/30/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/17/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1998
General Securities Representative Examination

Current Firm

EW
EXCEPTIONAL WEALTH & FAMILY OFFICE
EC VENTURES V LLC | EXCEPTIONAL WEALTH & FAMILY OFFICE

CRD#: 340444 / SEC#: 801-135545

RIA
Registered Investment Advisory firm - (3/12/2026 120-Day Approval)
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Contact information

Main Address
422 East Vermijo Avenue, Suite 200a, Colorado Springs, CO 80903
Mailing Address
Phone number
(719) 715-4179
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A JANUARY 2026 (2/11/2026)

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

EXCEPTIONAL WEALTH & FAMILY OFFICE

CRD#: 340444Colorado Springs, CO 80903

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