Richard J. Walls

WALLS INVESTMENT MANAGEMENT COMPANY

BLUFFTON, SC 29909

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CRD#: 5424354

Professional summary

Richard J Walls JR. is a registered financial advisor currently at WALLS INVESTMENT MANAGEMENT COMPANY located in Bluffton, South Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Richard has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard J Walls JR.'s 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®

None

Experience

Current

February 22, 2011 - Present

WALLS INVESTMENT MANAGEMENT COMPANY

Office #1: 110 Traders Cross, Bluffton, SC 29909

RIA

CRD#: 123440

BLUFFTON, SC

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

South Carolina
(2/22/2011)

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 65

Date: 2/19/2011

Uniform Investment Adviser Law Examination

Current Firm

WALLS INVESTMENT MANAGEMENT COMPANY

CRD#: 123440 / SEC#: 801-64253

RIA

Registered Investment Advisory firm - (9/25/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (10/22/2002 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/24/2012 Approved)

South Carolina

Registered Investment Advisory firm - (3/27/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

110 Traders Cross, Bluffton, SC 29909

Mailing Address

Phone number

(888) 925-5764

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 50,959,339

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard J. Walls

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard J Walls JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

WALLS INVESTMENT MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/2011

Current Firm

WALLS INVESTMENT MANAGEMENT COMPANY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WALLS INVESTMENT MANAGEMENT COMPANY

TRUST BUT VERIFY

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