Michael A. Walters
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.
Michael Anthony Walters, who also goes by Mike Walters, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2018. Michael had worked at 5 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2024 - July 10, 2026
SWBC INVESTMENT SERVICES, LLC
July 9, 2024 - July 10, 2026
SWBC INVESTMENT COMPANY
August 10, 2019 - July 17, 2024
TEAMWORK FINANCIAL ADVISORS, LLC
January 8, 2019 - August 15, 2019
FIRST COMMAND ADVISORY SERVICES
August 8, 2018 - August 15, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/4/2024
General Securities Representative ExaminationCurrent Firm
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
