KW
Kory W. Waller
WALLER WEALTH MANAGEMENT
Magnolia, AR 71753
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CRD#: 4547197
KW
Professional summary
Kory Wayne Waller is a registered financial advisor currently at WALLER WEALTH MANAGEMENT, LLC located in Magnolia, Arkansas and LPL FINANCIAL LLC located in Magnolia, Arkansas.
Kory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kory has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
1. 3/16/2016: No Business Name - Investment Related - 515 N. Jackson, Magnolia, AR 71753 - Real Estate Rental - Started 01/02/2016 - 0 Hours Per Month. 2. 3/12/2020 - Waller Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/15/2020 - 50 Hours Per Month During Securities Trading - I provide investment advisory services through Waller Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 01/2020. I expect to spend approximately 50 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 10/04/2022 - GDK Properties, LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Owner - Start Date - 05/01/2022 - 0 Hours Per Month/0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Kory Wayne Waller'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
March 5, 2020 - Present
WALLER WEALTH MANAGEMENT, LLC
Office #1: 515 N. Jackson, Magnolia, AR 71753RIA
CRD#: 307148
Magnolia, AR
Current
January 20, 2005 - Present
LPL FINANCIAL LLC
Office #1: 515 N. Jackson, Magnolia, AR 71753-2987RIA
BD
CRD#: 6413
Magnolia, AR
Past
March 22, 2021 - October 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
MAGNOLIA, AR
Past
February 2, 2005 - October 7, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
MAGNOLIA, AR
Past
August 6, 2002 - January 24, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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.RR
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
RR
Alabama(3/13/2020)
RR
Arkansas(1/20/2005)
IAR
Arkansas(3/11/2020)
RR
Florida(12/3/2019)
RR
Illinois(3/16/2005)
RR
Kansas(7/19/2010)
RR
Louisiana(1/20/2005)
IAR
Louisiana(3/24/2020)
RR
Maryland(3/16/2005)
RR
Massachusetts(1/7/2020)
RR
Mississippi(3/28/2006)
RR
Missouri(2/8/2006)
RR
North Carolina(3/17/2005)
RR
Oklahoma(3/16/2005)
RR
Texas(1/20/2005)
IAR
Texas(3/5/2020)
RR
Virginia(3/16/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WALLER WEALTH MANAGEMENT, LLC
WALLER WEALTH MANAGEMENT, L.L.C | WALLER WEALTH MANAGEMENT, LLC
CRD#: 307148 / SEC#:
Arkansas
Registered Investment Advisory firm - (3/11/2020 Approved)Louisiana
Registered Investment Advisory firm - (2/27/2020 Approved)Texas
Registered Investment Advisory firm - (2/28/2020 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
515 N. Jackson, Magnolia, AR 71753
Mailing Address
Phone number
(870) 234-7155
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 310 |
| AUM (Assets Under Management) | $ 60,000,000 |
Red Flags
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Company Information
WALLER WEALTH MANAGEMENT, LLC
CRD#: 307148Magnolia, AR 71753TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
