Nicholas R. Walter
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.
Nicholas R. Walter, who also goes by Nick Walter, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2009. Nicholas had worked at 3 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
November 17, 2011 - February 24, 2016
ARCHETYPE ADVISORS, LLC
November 17, 2011 - August 21, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 14, 2009 - November 18, 2011
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ARCHETYPE ADVISORS, LLC
CRD#: 156527 / SEC#: 801-120408
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
ARCHETYPE ADVISORS, LLC
CRD#: 156527 / SEC#: 801-120408
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 480 |
| AUM (Assets Under Management) | $ 195,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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