Eric M. Walton
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Eric Marshall Walton's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2003 - Present
WESTWIND CAPITAL
Office #1: 1800 S. Telshor, Las Cruces, NM 88011August 19, 2002 - September 30, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
Primary Firm SEC Registration
WESTWIND CAPITAL
CRD#: 106802 / SEC#: 801-43661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/24/2022)
(10/21/2003)
(4/17/2006)
Exams
Current Firm
WESTWIND CAPITAL
CRD#: 106802 / SEC#: 801-43661
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,131 |
| AUM (Assets Under Management) | $ 795,933,599 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/31/2023 |
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.
