CW
Chad A. Walker
PFG ADVISORS
Phoenix, AZ 85012
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CRD#: 4303652
CW
Professional summary
Chad A Walker is a registered financial advisor currently at PFG ADVISORS located in Phoenix, Arizona and OSAIC WEALTH, INC. located in Phoenix, Arizona.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Chad has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6 and Series 24 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.
PFG ADVISORS POSITION: Compliance Analyst NATURE: Independent RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/12/2018 ADDRESS: 3200 N Central Ave, Suite 200, Phoenix AZ 85012 DESCRIPTION: Compliance and supervision of IARs.
CRS (Client Relationship Summary) - RIA
Click below to view Chad A 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®
NoneExperience
Current
December 18, 2018 - Present
PFG ADVISORS
Office #1: 3200 N. Central Ave Suite #200, Phoenix, AZ 85012RIA
CRD#: 173344
Phoenix, AZ
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3200 N. Central Ave. Ste 200, Phoenix, AZ 85012RIA
BD
CRD#: 23131
PHOENIX, AZ
Past
December 18, 2018 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PHOENIX, AZ
Past
November 29, 2017 - November 20, 2018
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OAKDALE, MN
Past
November 29, 2017 - November 20, 2018
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
November 29, 2017 - November 20, 2018
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
November 29, 2017 - November 20, 2018
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
November 29, 2017 - November 20, 2018
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
November 29, 2017 - November 20, 2018
OSAIC SERVICES, INC.
BD
CRD#: 133763
PHOENIX, AZ
Past
November 29, 2017 - November 20, 2018
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 29, 2017 - November 20, 2018
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
March 27, 2017 - November 29, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
PHOENIX, AZ
Past
August 24, 2015 - November 29, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PHOENIX, AZ
Past
November 17, 2000 - March 6, 2014
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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".
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 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
IAR
Arizona(12/18/2018)
RR
Arizona(6/14/2024)
RR
California(6/14/2024)
IAR
Texas(11/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3200 N. Central Ave Suite #200, Phoenix, AZ 85012
Mailing Address
Phone number
(800) 405-8850
Established
Firm type
Fiscal year end
# of Employees
119
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,550 |
| AUM (Assets Under Management) | $ 3,083,491,501 |
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.
