Eric S Walter
CFP®Professional Summary
Eric S Walter, CFP® is a registered financial advisor currently at SPRAKER WEST WEALTH MANAGEMENT, INC located in Winter Park, Florida. Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Eric has worked at 2 firms and has passed the SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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IMPACT INVESTORS
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Videos & Posts
This advisor has not added any videos or posts yet.
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UBS FINANCIAL SERVICES INC.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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IMPACT INVESTORS
UBS FINANCIAL SERVICES INC.
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Disclosures on record.
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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Credentials
Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
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UBS FINANCIAL SERVICES INC.
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Current Firm
SPRAKER WEALTH MANAGEMENT INC | SPRAKER WEST WEALTH MANAGEMENT, INC
Contact Information
Main Address
334 W. Morse Blvd., Winter Park, FL 32789Phone Number
(407) 478-7899# of Employees
6SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
474AUM (Assets Under Management)
$265,323,432Similar Advisors
IMPACT INVESTORS
UBS FINANCIAL SERVICES INC.
SANCTUARY ADVISORS, LLC
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SPRAKER WEALTH MANAGEMENT INC | SPRAKER WEST WEALTH MANAGEMENT, INC
State Registrations and Notice Filings
(12/5/2023)
(11/13/2023)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2017About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Eric S Walter's CRS (Customer Relationship Summary).
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