Richard L. 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.
Richard Lewis Walter, who also goes by Richie Lewis Walter, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2007. Richard had worked at 2 firms and has passed the Series 66, Series 63, Series 34, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2020 - December 31, 2020
POINT 16 CAPITAL, LLC
April 6, 2018 - December 31, 2019
POINT 16 CAPITAL, LLC
June 11, 2007 - April 8, 2014
TD AMERITRADE, INC.
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
POINT 16 CAPITAL, LLC
CRD#: 286414 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 1,579,000 |
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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