Walter Thomas Bross
Professional Summary
Walter Thomas Bross was a registered financial advisor. Walter was a previously registered financial professional and started their career in finance 1970 - 2025. Walter had worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 15, Series 3, Series 5, Series 1, Series 24, Series 9, Series 10, Series 53, Series 12, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
STRATEGIC ADVISORY SERVICES | SWM ADVISORY SERVICES, LLC | SWM ADVISORY SERVICES | STRATEGIC WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT | STRATEGIC ADVISORY SERVICES, LLC
Contact Information
Main Address
6465 Quail Hollow Road Suite 301, Memphis, TN 38120Phone Number
(901) 751-2025# of Employees
10SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
464AUM (Assets Under Management)
$201,174,393Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
STRATEGIC ADVISORY SERVICES | SWM ADVISORY SERVICES, LLC | SWM ADVISORY SERVICES | STRATEGIC WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT | STRATEGIC ADVISORY SERVICES, LLC
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed Jan 1985Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Apr 1968Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 12 — NYSE Branch Manager Examination
Passed Oct 1978Series 40 — Registered Principal Examination
Passed May 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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