Leo S. Walters
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leo S Walters, who also goes by Leo Scott Walters, Leo Walters, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 2004. Leo had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2010 - December 31, 2012
AMERICAN CENTURY BROKERAGE, INC.
October 15, 2009 - September 25, 2013
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 1, 2005 - May 12, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 8, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 8, 2004 - May 12, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN CENTURY BROKERAGE, INC.
CRD#: 42846 / SEC#: , 8-50034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| ETHERINGTON, CHARLES A | CLO | 2473136 |
| LEIS, JOHN ANTHONY | CEO, PRESIDENT,DIRECTOR | 2324896 |
| MCCLAIN, STEVEN J | DIRECTOR | 4788572 |
| RADDIE, MICHAEL JON | COO, VICE PRESIDENT, DIRECTOR | 1607037 |
| SCHUMAKER, AMY DIANE | CCO | 2556023 |
| WAGGONER, JAMI D | CHIEF FINANCIAL OFFICER | 2728244 |
Disclosures
| Arbitration | 1 |
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.
