Richard D. Walker

ROBERT M WALKER & ASSOCIATES

TAYLORSVILLE, KY

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CRD#: 3213365

Professional summary

Richard Douglas Walker, who also goes by Richard D. Walker, is a registered financial advisor currently at ROBERT M WALKER & ASSOCIATES located in Taylorsville, Kentucky.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard D. 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 Richard Douglas Walker's 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

May 12, 1999 - Present

ROBERT M WALKER & ASSOCIATES

RIA

CRD#: 122671

TAYLORSVILLE, KY

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

Kentucky
(5/12/1999)

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: 5/4/1999

Uniform Investment Adviser Law Examination

Current Firm

ROBERT M WALKER & ASSOCIATES

RMWALKER ASSOCIATES | ROBERT M WALKER & ASSOCIATES, INC. | ROBERT M WALKER & ASSOCIATES

CRD#: 122671 / SEC#:

Indiana

Registered Investment Advisory firm - (4/18/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (1/29/1981 Approved)

Ohio

Registered Investment Advisory firm - (9/26/2017 Approved)

Texas

Registered Investment Advisory firm - (3/29/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Taylorsville, KY

Mailing Address

Phone number

(502) 477-6894

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 11,290,831

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.

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Richard D. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Douglas Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT M WALKER & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/1999

Current Firm

ROBERT M WALKER & ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROBERT M WALKER & ASSOCIATES

TRUST BUT VERIFY

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