Brenda L. 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.
Brenda Lee Walters, who also goes by Brenda L Walters, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 2007. Brenda had worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 9, Series 10 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
February 12, 2019 - March 3, 2026
RAYMOND JAMES & ASSOCIATES, INC.
February 8, 2019 - March 3, 2026
RAYMOND JAMES & ASSOCIATES, INC.
July 3, 2018 - July 13, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 25, 2018 - July 13, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 21, 2016 - June 20, 2018
RAYMOND JAMES & ASSOCIATES, INC.
July 20, 2016 - June 20, 2018
RAYMOND JAMES & ASSOCIATES, INC.
October 2, 2014 - March 10, 2016
COMMONWEALTH FINANCIAL NETWORK
October 1, 2014 - March 10, 2016
COMMONWEALTH FINANCIAL NETWORK
March 26, 2012 - September 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2012 - September 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 26, 2008 - March 30, 2012
UBS FINANCIAL SERVICES INC.
December 5, 2007 - March 30, 2012
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 99TO
Date: 3/15/2023
Operations Professional ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
