Dieter L. Walters

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CRD#: 5865262

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.

Dieter Legrand Walters, who also goes by Dieter L Walters, Dieter Legrand Walters, was a registered financial professional .

Dieter is a previously registered financial professional and started their career in finance in 2011. Dieter had worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dieter L Walters | Dieter Legrand 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.

1)THE RASPBERRY BEAR LAKE LODGE LLC; NO; 737 SPRUCE DRIVE, GARDEN CITY, UTAH 84028; THIS IS A VACATION RENTAL PROPERTY THAT IS RENTED OUT ON A SHORT TERM BASIS THROUGH OUT THE YEAR; PARTNER; 6/1/2015; 03HRS/MO; 0HRS/MO; LENDING/BORROWING ACTIVITIES, CONTROL OF CHECKBOOK, REVIEW BANK STATEMENTS, MAKE BANK DEPOSITS, PAY BILLS, SIGN CHECKS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2022 - March 11, 2025

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Corona, CA

Past

August 12, 2022 - March 11, 2025

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

February 7, 2020 - August 16, 2022

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

Corona, CA

Past

February 6, 2020 - August 16, 2022

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

October 10, 2018 - February 7, 2019

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

West Jordan, UT

Past

October 5, 2018 - February 7, 2019

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

December 2, 2014 - December 31, 2016

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

NORTH SALT LAKE, UT

Past

December 2, 2014 - December 31, 2016

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

NORTH SALT LAKE, UT

Past

November 3, 2011 - November 26, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

February 4, 2011 - November 24, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/28/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/28/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2011

General Securities Representative Examination

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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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Firm Stability Insights

Dieter L. Walters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

STATE FARM VP MANAGEMENT CORP.

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2011

Series 63

Date: 1/28/2011

Series 6TO

Date: 1/2/2023

SIE

Date: 12/31/2016

Series 7

Date: 2/3/2011

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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