Barbara L. Walstrom
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.
Barbara Lynn Walstrom was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2009. Barbara had worked at 4 firms and has passed the Series 65, Series 63 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
August 19, 2013 - August 19, 2016
EXECUTIVE WEALTH MANAGEMENT, LLC
August 13, 2013 - January 15, 2014
INVEST FINANCIAL CORPORATION
June 20, 2013 - January 15, 2014
INVEST FINANCIAL CORPORATION
July 8, 2010 - June 20, 2013
EQUITABLE ADVISORS, LLC
May 5, 2010 - June 20, 2013
EQUITABLE ADVISORS, LLC
September 18, 2009 - April 28, 2010
FIRST HEARTLAND CAPITAL, 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
EXECUTIVE WEALTH MANAGEMENT, LLC
CRD#: 140736 / SEC#: 801-66881
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,577 |
| AUM (Assets Under Management) | $ 1,438,725,950 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2024 | ||
| 09/08/2023 | ||
| 12/19/2022 |
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.
