Douglas S. Walters
Professional summary
Douglas Scott Walters, who also goes by Douglas Walters, is a registered financial advisor currently at STRATEGIC FINANCIAL SERVICES located in Utica, New York.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Douglas has worked at 3 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Scott Walters's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2021 - Present
STRATEGIC FINANCIAL SERVICES
Office #1: 114 Business Park Drive, Utica, NY 13502August 20, 2014 - September 11, 2017
CADARET, GRANT & CO., INC.
October 4, 2006 - February 5, 2013
DEUTSCHE BANK SECURITIES INC.
Primary Firm SEC Registration
STRATEGIC FINANCIAL SERVICES
CRD#: 109677 / SEC#: 801-33774
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/10/2021)
Exams
Current Firm
STRATEGIC FINANCIAL SERVICES
CRD#: 109677 / SEC#: 801-33774
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,368 |
| AUM (Assets Under Management) | $ 2,281,912,091 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 07/23/2024 | ||
| 01/11/2024 | ||
| 12/22/2022 |
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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Company Information
STRATEGIC FINANCIAL SERVICES
CRD#: 109677Utica, NY 13502TRUST BUT VERIFY
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