Michael A. Walters

PROSPERITAS FINANCIAL

Selma, TX

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CRD#: 6858646

Professional summary

Michael Anthony Walters, who also goes by Mike Walters, is a registered financial advisor currently at PROSPERITAS FINANCIAL, LLC located in Selma, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Michael has worked at 6 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Mike 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.

Kellogg Insurance Agent, non-investment related, licensed to sell insurance-based products: Life, health and annuities, 11931 S. 700 E, Draper, UT, 84020, Since 03/2024, 5 hr. per month, educating clients on Medicare & their eligible options using Medicare Advantage & Supplemental Plans based on their needs and current situation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Walters'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

July 29, 2026 - Present

PROSPERITAS FINANCIAL, LLC

RIA

CRD#: 315768

Selma, TX

Past

November 5, 2024 - July 10, 2026

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

SAN ANTONIO, TX

Past

July 9, 2024 - July 10, 2026

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

August 10, 2019 - July 17, 2024

TEAMWORK FINANCIAL ADVISORS, LLC

RIA

CRD#: 165237

NEW BRAUNFELS, TX

Past

January 8, 2019 - August 15, 2019

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Cibolo, TX

Past

August 8, 2018 - August 15, 2019

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Cibolo, 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".

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/29/2026)

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 65

Date: 3/18/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/7/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/4/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2018

General Securities Representative Examination

Current Firm

PROSPERITAS FINANCIAL, LLC

BROWN ASSET MANAGEMENT | SHUPER WEALTH MANAGEMENT | PROSPERITAS FINANCIAL, LLC | BROWN INVESTMENT MANAGEMENT

CRD#: 315768 / SEC#: 801-122207

RIA

Registered Investment Advisory firm - (8/30/2021 Approved)

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Contact information

Main Address

25060 Avenue Stanford Suite 100, Valencia, CA 91355

Mailing Address

Phone number

(661) 255-9555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts	4,890
AUM (Assets Under Management)	$ 812,462,629

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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Advisor Monitoring

Firm Stability Insights

Michael A. Walters

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Walters's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

SWBC INVESTMENT COMPANY

TEAMWORK FINANCIAL ADVISORS, LLC

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

PROSPERITAS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2022

Series 66

Date: 1/7/2019

Series 7TO

Date: 11/4/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2018

Current Firm

PROSPERITAS FINANCIAL, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITAS FINANCIAL, LLC

TRUST BUT VERIFY

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