Andrew R. Walters

ATHENE SECURITIES

West Des Moines, IA 50266

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CRD#: 5564948

Professional summary

Andrew Ross Walters, who also goes by Andrew Walters, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Walters

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) - BD

Click below to view Andrew Ross Walters's CRS (Customer Relationship Summary).

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

June 18, 2015 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 36867

West Des Moines, IA

Past

April 22, 2014 - June 15, 2015

SYNERGY INVESTMENT GROUP, LLC

RIA

CRD#: 46035

KANNAPOLIS, NC

Past

April 1, 2014 - June 15, 2015

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

WEST DES MOINES, IA

Past

July 30, 2012 - March 12, 2014

DIRECTED SERVICES LLC

CRD#: 21675

DES MOINES, IA

Past

November 15, 2010 - May 1, 2012

THE MUTUAL FUND STORE

RIA

CRD#: 154811

WEST DES MOINE, IA

Past

December 21, 2009 - November 2, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

WEST DES MOINES, IA

Past

July 28, 2008 - November 2, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

WEST DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Iowa
(6/18/2015)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/26/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ATHENE USA CORPORATION	ATHENE SECURITIES, LLC
BATTERSON, CHAD M	PRESIDENT, COO, FINOP	4880009
BURTON, SHEILA SUE	CHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT III	VICE PRESIDENT	4605388
HUNT, ANGELA JEAN	COMPLIANCE OFFICER	7192588

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.

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Andrew R. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Ross Walters's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNERGY INVESTMENT GROUP, LLC

JBS LIBERTY SECURITIES, INC.

DIRECTED SERVICES LLC

THE MUTUAL FUND STORE

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2009

Series 63

Date: 7/25/2008

SIE

Date: 10/1/2018

Series 6

Date: 7/26/2008

FINRA

Current Firm

ATHENE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ATHENE SECURITIES, LLC

TRUST BUT VERIFY

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