Todd M. 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.
Todd Michael Walters was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2008. Todd had worked at 2 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
July 14, 2011 - March 9, 2012
MATRIX CAPITAL GROUP, INC.
October 31, 2008 - October 30, 2009
LPL FINANCIAL LLC
October 7, 2008 - October 30, 2009
LPL FINANCIAL 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
MATRIX CAPITAL GROUP, INC.
CRD#: 33364 / SEC#: 801-61224, 8-46398
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| 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.
