Caleb B. Walter

PTMA INVESTMENT ADVISORS

NAPERVILLE, IL 60563

Some features on this profile are disabled

CRD#: 6551405

Professional summary

Caleb Brian Walter, who also goes by Caleb Brian Walter, Caleb Walter, is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Naperville, Illinois and PMA SECURITIES, LLC located in West Des Moines, Iowa.

Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Caleb has worked at 5 firms and has passed the Series 65, Series 63, Series 50, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caleb Brian Walter | Caleb Walter

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 Caleb Brian Walter'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

February 3, 2023 - Present

PTMA INVESTMENT ADVISORS

Office #1: 2135 Citygate Lane 7th Floor, Naperville, IL 60563

RIA

CRD#: 301973

NAPERVILLE, IL

Current

January 6, 2023 - Present

PMA SECURITIES, LLC

Office #1: 4200 University Avenue Suite 114, West Des Moines, IA 50266

CRD#: 30397

West Des Moines, IA

Past

May 4, 2022 - January 3, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

West Des Moines, IA

Past

May 4, 2022 - January 3, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

West Des Moines, IA

Past

July 20, 2021 - March 21, 2022

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

Urbandala, IA

Past

July 20, 2021 - March 21, 2022

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

Urbandala, IA

Past

January 1, 2016 - July 20, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

URBANDALE, IA

Past

October 12, 2015 - July 20, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

URBANDALE, IA

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".

PTMA INVESTMENT ADVISORS

PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA

Registered Investment Advisory firm - (4/2/2019 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.

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
(1/6/2023)

IAR

Iowa
(2/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 50

Date: 5/23/2023

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA

Registered Investment Advisory firm - (4/2/2019 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

2135 Citygate Lane 7th Floor, Naperville, IL 60563

Mailing Address

Phone number

(630) 657-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PMA ASSET MANAGEMENT PART 2A 2024 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	504
AUM (Assets Under Management)	$ 27,791,353,702

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.

Similar Advisors

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Caleb B. Walter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb Brian Walter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PMA SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

PTMA INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2015

Series 63

Date: 12/3/2015

Series 50

Date: 5/23/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2017

Series 6

Date: 10/12/2015

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PTMA INVESTMENT ADVISORS

TRUST BUT VERIFY

Similar Advisors