Eric J. Walter
Professional summary
Eric Joseph Walter, who also goes by Eric J Walter, is a registered financial advisor currently at ALTFEST PERSONAL WEALTH MANAGEMENT located in New York, New York.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Eric has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Eric Joseph Walter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 4, 2025 - Present
ALTFEST PERSONAL WEALTH MANAGEMENT
Office #1: 445 Park Avenue 6th Floor, New York, NY 10022April 25, 2017 - September 14, 2023
UBS FINANCIAL SERVICES INC.
November 17, 2016 - September 14, 2023
UBS FINANCIAL SERVICES INC.
July 12, 2013 - June 30, 2016
UBS FINANCIAL SERVICES INC.
June 16, 2006 - November 6, 2013
UBS SECURITIES LLC
May 11, 2004 - June 28, 2006
UBS FINANCIAL SERVICES INC.
July 1, 2003 - February 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 12, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
ALTFEST PERSONAL WEALTH MANAGEMENT
CRD#: 110130 / SEC#: 801-18320
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/10/2025)
(9/7/2025)
(9/4/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ALTFEST PERSONAL WEALTH MANAGEMENT
CRD#: 110130 / SEC#: 801-18320
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,191 |
| AUM (Assets Under Management) | $ 1,622,512,064 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 01/26/2024 | ||
| 01/11/2023 | ||
| 10/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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