Jacob C. Walter

CLEARBRIDGE INVESTMENTS

NEW YORK, NY 10010

Some features on this profile are disabled

CRD#: 4521709

Professional summary

Jacob Christian Walter, CFP®, who also goes by Jacob C Walter, is a registered financial advisor currently at CLEARBRIDGE INVESTMENTS, LLC located in New York, New York and FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.

Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jacob has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jacob C Walter

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.

1. Walter Farms LLC.; McKinney, TX; Farm land owner since 8/1/2008; LLC established Nov 2017; Not Investment Related; Approx. 4 hours per month - no time devoted during normal securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Christian Walter'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

September 8, 2016 - Present

CLEARBRIDGE INVESTMENTS, LLC

Office #1: One Madison Avenue 18th Floor, New York, NY 10010

RIA

CRD#: 137028

NEW YORK, NY

Current

September 8, 2016 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078

CRD#: 109064

Short Hills, NJ

Past

December 21, 2009 - September 2, 2016

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

February 20, 2007 - December 15, 2009

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

February 20, 2007 - September 2, 2016

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

February 20, 2007 - September 2, 2016

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

August 30, 2005 - January 25, 2007

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

September 8, 2003 - September 17, 2004

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, NC

Past

January 3, 2003 - March 28, 2003

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

OVERLAND PARK, KS

Past

April 22, 2002 - March 28, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

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".

CLEARBRIDGE INVESTMENTS, LLC

CRD#: 137028 / SEC#: 801-64710

RIA

Registered Investment Advisory firm - (9/30/2005 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.

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

Arizona
(1/3/2017)

California
(1/3/2017)

Colorado
(1/3/2017)

IAR

Colorado
(2/6/2023)

Connecticut
(1/7/2022)

Florida
(1/7/2022)

Kansas
(1/3/2017)

Massachusetts
(1/17/2024)

Missouri
(1/3/2017)

Montana
(1/3/2023)

New Mexico
(1/17/2024)

New York
(1/3/2017)

Utah
(1/3/2017)

Wyoming
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/10/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/2002

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: 9/16/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/19/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CLEARBRIDGE INVESTMENTS, LLC

CRD#: 137028 / SEC#: 801-64710

RIA

Registered Investment Advisory firm - (9/30/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Madison Avenue 18th Floor, New York, NY 10010

Mailing Address

Phone number

(212) 805-2000

Established

Firm type

Fiscal year end

# of Employees

214

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEARBRIDGE INVESTMENTS ADVISORY BROCHURE (12/17/2024)

CLEARBRIDGE/FTPPG RETAIL CLIENT BROCHURE (12/17/2024)

Regulatory assets under management

Total Number of Accounts	122,375
AUM (Assets Under Management)	$ 180,788,611,945

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2025	Cover Page	Report
01/24/2025	Cover Page	Report
11/20/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jacob C. Walter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Christian Walter's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

WADDELL & REED

WADDELL & REED

WADDELL & REED

IVY DISTRIBUTORS, INC.

UMB FINANCIAL SERVICES, INC.

JBS LIBERTY SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CLEARBRIDGE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/10/2002

Series 63

Date: 5/3/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2016

Series 6

Date: 4/19/2002

FINRA

Current Firm

CLEARBRIDGE INVESTMENTS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEARBRIDGE INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors