EW
Eric M. Walton
WESTWIND CAPITAL
Las Cruces, NM 88011
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CRD#: 4415201
EW
Professional summary
Eric Marshall Walton is a registered financial advisor currently at WESTWIND CAPITAL located in Las Cruces, New Mexico.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Eric has worked at 2 firms and has passed the Series 66 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.
BenMol LLC which is a real estate holding company, not investment related. The address is 5035 Silverton Ct. Las Cruces, NM 88011. He is a partner. This entity began in 2016. He devotes approximately 5 hours per month to the business outside of business hours and none during business hours. His duties include property management. This entity is the owner of the building on Foothills Rd which Spence Asset Management leases from BenMol LLC. SKEW Properties LLC which is a real estate holding company, not investment related. The address is 5035 Silverton Ct. Las Cruces, NM 88011. He is a partner. This entity began in 2014. He devotes approximately 5 hours per month to the business outside of business hours and none during business hours. His duties include property management. GSM LLC which is a real estate holding company, not investment related. The address is 5035 Silverton Ct. Las Cruces, NM 88011. He is a partner. This entity began in 2024. He devotes approximately 5 hours per month to the business outside of business hours and none during business hours. His duties include property management.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Marshall 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
October 21, 2003 - Present
WESTWIND CAPITAL
Office #1: 1800 S. Telshor, Las Cruces, NM 88011RIA
CRD#: 106802
Las Cruces, NM
Past
August 19, 2002 - September 30, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
LAS CRUCES, NM
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".
WC
WESTWIND CAPITAL
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES
CRD#: 106802 / SEC#: 801-43661
RIA
Registered Investment Advisory firm - (4/7/1993 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.Highlighted states indicate IAR registrations
IAR
Colorado(1/24/2022)
IAR
New Mexico(10/21/2003)
IAR
Texas(4/17/2006)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
WC
WESTWIND CAPITAL
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES
CRD#: 106802 / SEC#: 801-43661
RIA
Registered Investment Advisory firm - (4/7/1993 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1800 S. Telshor, Las Cruces, NM 88011
Mailing Address
Phone number
(575) 556-8500
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,945 |
| AUM (Assets Under Management) | $ 715,145,223 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/31/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
