Jeffrey T. Walters

HINES PRIVATE WEALTH SOLUTIONS LLC

ANN ARBOR, MI

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CRD#: 4314180

Professional summary

Jeffrey Tsuboi Walters, CFP®, who also goes by Jeff Tsuboi Walters, Jeffrey Ichiro Walters, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Ann Arbor, Michigan.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff Tsuboi Walters | Jeffrey Ichiro Walters

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) - BD

Click below to view Jeffrey Tsuboi Walters's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

January 24, 2012 - Present

HINES PRIVATE WEALTH SOLUTIONS LLC

CRD#: 128145

ANN ARBOR, MI

Past

July 20, 2009 - January 30, 2012

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

DALLAS, TX

Past

December 22, 2000 - June 30, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alaska
(1/24/2012)

Arizona
(2/25/2022)

California
(7/25/2024)

Hawaii
(1/24/2012)

Idaho
(1/24/2012)

Montana
(1/24/2012)

Nevada
(11/21/2022)

Oregon
(1/24/2012)

Washington
(1/24/2012)

Wyoming
(4/10/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/20/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/21/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HINES PRIVATE WEALTH SOLUTIONS LLC

HINES PRIVATE WEALTH SOLUTIONS LLC | HINES SECURITIES, INC. | HINES REAL ESTATE SECURITIES, INC. | HINES REAL ESTATE INVESTMENTS, INC.

CRD#: 128145 / SEC#: , 8-66096

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

845 Texas Avenue Suite 3300, Houston, TX 77002

Mailing Address

845 Texas Avenue Suite 3300, Houston, TX 77002

Phone number

(888) 446-3773

Established

Delaware since 03/28/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HINES RETAIL SECURITIES LLC	OWNER
CARUSO, JOHN ARMOND	MANAGING DIRECTOR, MANAGER	5524146
FERRARO, PAUL JAMES	SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO	2479671
FOGG, RICHARD MATTHEW JR	MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER	2669807
HILL, LERONICA CARRIETTA	CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY	4936282
HUSSEIN, SHAUN R	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	5193143

Disclosures

Regulatory Event

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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Firm Stability Insights

Jeffrey T. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Tsuboi Walters's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVASI CAPITAL PARTNERS LP

GLOBAL ATLANTIC DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2003

Series 63

Date: 1/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 6/17/2003

Series 6

Date: 12/21/2000

Series 24

Date: 5/14/2015

FINRA

Current Firm

HINES PRIVATE WEALTH SOLUTIONS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HINES PRIVATE WEALTH SOLUTIONS LLC

TRUST BUT VERIFY

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