Zachary H. Walters

WALLED LAKE PLANNING & WEALTH MANAGEMENT

Highland Park, IL 60035

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CRD#: 5157083

Professional summary

Zachary Harold Walters, CFP® is a registered financial advisor currently at WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC located in Highland Park, Illinois.

Zachary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Zachary has worked at 3 firms and has passed the Series 66, SIE 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.

(1) ILLINOIS DEPARTMENT OF INSURANCE; INVESTMENT RELATED; INSURANCE LICENSE; HOURS VARY BASED ON CLIENT NEEDS; SERVICING OF ACCOUNTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Harold Walters'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

Start date: 2015

Experience

Current

January 19, 2019 - Present

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Office #1: 600 Elm Place, Highland Park, IL 60035

RIA

CRD#: 299595

Highland Park, IL

Past

October 13, 2006 - December 19, 2018

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

Winnetka, IL

Past

October 13, 2006 - December 19, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

Winnetka, IL

Past

August 8, 2006 - September 28, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TINLEY PARK, IL

Past

July 28, 2006 - September 28, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TINLEY PARK, IL

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".

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA

Registered Investment Advisory firm - (12/6/2018 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/19/2019)

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: 8/7/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2006

General Securities Representative Examination

Current Firm

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA

Registered Investment Advisory firm - (12/6/2018 Approved)

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Contact information

Main Address

600 Elm Place, Highland Park, IL 60035

Mailing Address

Phone number

(847) 616-2590

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WALLED LAKE PLANING & WEALTH MANAGEMENT, LLC - WRAP FEE PROGRAM BROCHURE (3/20/2025)

DISCLOSURE BROCHURE - WALLED LAKE PLANNING & WEALTH MANAGEMENT (3/20/2025)

Regulatory assets under management

Total Number of Accounts	2,092
AUM (Assets Under Management)	$ 669,251,402

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

Zachary H. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Harold Walters's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/27/2006

Current Firm

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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