Malcolm E. Walton

GANNETT WEALTH ADVISORS

Frisco, TX

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CRD#: 6946401

Professional summary

Malcolm Emmanuel Walton, who also goes by Malcolm Walton, is a registered financial advisor currently at GANNETT WEALTH ADVISORS located in Frisco, Texas.

Malcolm is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Malcolm has worked at 4 firms and has passed the Series 66, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Malcolm Walton

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 Malcolm Emmanuel Walton'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 14, 2025 - Present

GANNETT WEALTH ADVISORS

RIA

CRD#: 328213

Frisco, TX

Past

February 16, 2022 - October 21, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

Plano, TX

Past

October 16, 2019 - February 11, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNTINGTON, WV

Past

August 20, 2019 - February 11, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNTINGTON, WV

Past

March 22, 2019 - May 22, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HUNTINGTON, WV

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".

GANNETT WEALTH ADVISORS

GANNETT WEALTH ADVISORS | SOUND ADVISORY, LLC | SOUND ADVISORY LLC | SOUND ADVISORY

CRD#: 328213 / SEC#: 801-131907

RIA

Registered Investment Advisory firm - (2/3/2025 Approved)

California

Registered Investment Advisory firm - (3/9/2025 Terminated)

Florida

Registered Investment Advisory firm - (2/7/2025 Terminated)

Idaho

Registered Investment Advisory firm - (2/7/2025 Terminated)

Ohio

Registered Investment Advisory firm - (2/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(2/14/2025)

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 66

Date: 10/4/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/29/2019

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/22/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 1/11/2019

Securities Industry Essentials Examination

Current Firm

GANNETT WEALTH ADVISORS

GANNETT WEALTH ADVISORS | SOUND ADVISORY, LLC | SOUND ADVISORY LLC | SOUND ADVISORY

CRD#: 328213 / SEC#: 801-131907

RIA

Registered Investment Advisory firm - (2/3/2025 Approved)

California

Registered Investment Advisory firm - (3/9/2025 Terminated)

Florida

Registered Investment Advisory firm - (2/7/2025 Terminated)

Idaho

Registered Investment Advisory firm - (2/7/2025 Terminated)

Ohio

Registered Investment Advisory firm - (2/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/7/2025 Terminated)

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Contact information

Main Address

Middleton, ID

Mailing Address

601 Congress Ave Suite 200, Austin, TX 78701

Phone number

(208) 254-0142

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 69,904,180

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

Malcolm E. Walton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Emmanuel Walton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

GANNETT WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2019

Series 7TO

Date: 8/29/2019

Series 6TO

Date: 3/22/2019

SIE

Date: 1/11/2019

Current Firm

GANNETT WEALTH ADVISORS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GANNETT WEALTH ADVISORS

TRUST BUT VERIFY

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