RW
Ronald J. Walton
CETERA INVESTMENT ADVISERS LLC
SYLVAN LAKE, MI 48320
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CRD#: 4088211
RW
Professional summary
Ronald James Walton is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sylvan Lake, Michigan and CETERA FINANCIAL SPECIALISTS LLC located in Sylvan Lake, Michigan.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ronald has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) PASSIVE JOINT OWNER OF WORKING INTEREST OF OIL/GAS WELLS SINCE 78- 1HR/WK DETERMINING WELL TO DRILL AND/OR COMPLETE; 1) BEVERLY ISLAND ASSOC., HOME OWNERS ASSN-TREAS SINCE 88-PAY ASSN BILLS-1/4HR/WK; 3) R.J. WALTON, P.C., TAX & ACCTG PRAC-PRES SINCE 11/12/86-PREP TAX RETS BUS PLANS; 4) R.J. WALTON STAFFING, INC, NOT INV REL, PRES, PROVIDES EMPLOYEES TO R.J. WALTON, PC, SINCE 01/2008, 2H/WK: 5) RONALD WALTON DOTERRA OILS; NON-INV. RELATED; BLOOMFIELD HILLS, MI; SELL & CREATE SALES ORGANIZATION FOR DOTERRA PURE THERAPUTIC OILS; REPRESENTATIVE; SINCE 06/2012; 1 HR/MONTH OUTSIDE OF SECURITIES TRADING HOURS: 6) RIDGEDALE FINANCIAL ADVISORS; DBA NAME FOR INVESTMENT PRACTICE - INV-RELATED; BLOOMFIELD HILLS, MI; OWNER; SINCE 08/2012; 20 HRS/MONTH DURING SECURITIES TRADING HOURS: 7) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: TIME SHARE RENTAL; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SELECT COMPANY TO RENT TIMESHARE OUT; 8) NAME OF OTHER BUSINESS: GALE WALTON TRUST; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL HOUSE INHERITED BY TRUST;
CRS (Client Relationship Summary) - RIA
Click below to view Ronald James Walton'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®
NoneExperience
Current
May 27, 2010 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2360 Orchard Lake Road Suite 100, Sylvan Lake, MI 48320RIA
CRD#: 105644
SYLVAN LAKE, MI
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2360 Orchard Lake Road Suite 100, Sylvan Lake, MI 48320BD
CRD#: 10358
Sylvan Lake, MI
Past
October 16, 2002 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
Past
January 26, 2000 - October 11, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/4/2006)
RR
Florida(7/6/2004)
RR
Georgia(6/30/2004)
RR
Michigan(6/30/2004)
IAR
Michigan(5/27/2010)
RR
New Jersey(4/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
