Walker F. Davidson

CAROLINA STRATEGY

Matthews, NC

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CRD#: 4484374

Professional summary

Walker Franklin Davidson, CFP® is a registered financial advisor currently at CAROLINA STRATEGY, LLC located in Matthews, North Carolina.

Walker is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Walker has worked at 4 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walker Franklin Davidson'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 19, 2023 - Present

CAROLINA STRATEGY, LLC

RIA

CRD#: 324629

Matthews, NC

Past

November 13, 2008 - March 28, 2013

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

MATTHEWS, NC

Past

November 10, 2008 - March 28, 2013

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

MATTHEWS, NC

Past

October 12, 2005 - November 13, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MATTHEWS, NC

Past

October 11, 2005 - November 13, 2008

OSAIC WEALTH, INC.

CRD#: 23131

MATTHEWS, NC

Past

February 27, 2002 - October 10, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

CHARLOTTE, NC

Past

January 25, 2002 - October 10, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

CAROLINA STRATEGY, LLC

CRD#: 324629 / SEC#: 801-132032

RIA

Registered Investment Advisory firm - (3/14/2025 Approved)

North Carolina

Registered Investment Advisory firm - (3/24/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (3/17/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(1/19/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/6/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/24/2002

General Securities Representative Examination

Current Firm

CAROLINA STRATEGY, LLC

CRD#: 324629 / SEC#: 801-132032

RIA

Registered Investment Advisory firm - (3/14/2025 Approved)

North Carolina

Registered Investment Advisory firm - (3/24/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (3/17/2025 Terminated)

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Contact information

Main Address

Matthews, NC

Mailing Address

Phone number

(980) 269-9899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A- CAROLINA STRATEGY, LLC (1/24/2025)

Regulatory assets under management

Total Number of Accounts	181
AUM (Assets Under Management)	$ 111,821,299

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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Advisor Monitoring

Firm Stability Insights

Walker F. Davidson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walker Franklin Davidson's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

CAROLINA STRATEGY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/6/2002

Series 7

Date: 1/24/2002

Current Firm

CAROLINA STRATEGY, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAROLINA STRATEGY, LLC

TRUST BUT VERIFY

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