AW
Amber R. Walker
SYMPHONY FINANCIAL, LTD. CO.
Houston, TX 77027
Some features on this profile are disabled
CRD#: 6117587
AW
Professional summary
Amber Rene Walker is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Amber has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
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.
06/07/2022 - Notary - State of Texas - Start: 05/2017
CRS (Client Relationship Summary) - RIA
Click below to view Amber Rene Walker'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®
NoneExperience
Current
October 23, 2024 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 4295 San Felipe Suite 300, Houston, TX 77027RIA
CRD#: 171816
Houston, TX
Current
August 4, 2022 - Present
LPL FINANCIAL LLC
Office #1: 4295 San Felipe Street Ste 300, Houston, TX 77027RIA
BD
CRD#: 6413
Houston, TX
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)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.RR
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
RR
Texas(8/21/2023)
IAR
Texas(10/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
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.
