Walter H. Joseph

ALBION FINANCIAL GROUP

Salt Lake City, UT 84106

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CRD#: 7021590

Professional summary

Walter Hanz Joseph, who also goes by Walter Joseph, is a registered financial advisor currently at ALBION FINANCIAL GROUP located in Salt Lake City, Utah.

Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Walter has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Walter Joseph

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 Walter Hanz Joseph'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

May 24, 2022 - Present

ALBION FINANCIAL GROUP

Office #1: 812 East 2100 South, Salt Lake City, UT 84106

RIA

CRD#: 105957

Salt Lake City, UT

Past

October 26, 2018 - August 21, 2019

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

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".

ALBION FINANCIAL GROUP

ALBION FINANCIAL GROUP | DBA ALBION FINANCIAL GROUP | ALBION MANAGEMENT GROUP

CRD#: 105957 / SEC#: 801-18270

RIA

Registered Investment Advisory firm - (2/10/1983 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

Utah
(5/24/2022)

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: 5/23/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2018

General Securities Representative Examination

Current Firm

ALBION FINANCIAL GROUP

ALBION FINANCIAL GROUP | DBA ALBION FINANCIAL GROUP | ALBION MANAGEMENT GROUP

CRD#: 105957 / SEC#: 801-18270

RIA

Registered Investment Advisory firm - (2/10/1983 Approved)

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Contact information

Main Address

812 East 2100 South, Salt Lake City, UT 84106

Mailing Address

Phone number

(801) 487-3700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV NARATIVE 3-28-2024 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	2,260
AUM (Assets Under Management)	$ 1,858,123,409

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/31/2025	Cover Page	Report
11/01/2023	Cover Page	Report
04/18/2023	Cover Page	Report

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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Walter H. Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Hanz Joseph's CRS (Customer Relationship Summary).

Certified licenses

Experience

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

ALBION FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2022

Series 63

Date: 11/7/2018

SIE

Date: 10/27/2018

Series 7

Date: 10/26/2018

Current Firm

ALBION FINANCIAL GROUP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALBION FINANCIAL GROUP

TRUST BUT VERIFY

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