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Brandon C. Walters

FORVIS MAZARS CAPITAL ADVISORS
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 7703609
BW

Professional summary

Brandon Chase Walters is a registered financial professional currently at FORVIS MAZARS CAPITAL ADVISORS, LLC located in Charlotte, North Carolina.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 2024. Brandon has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Brandon Chase Walters's 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

March 12, 2024 - Present

FORVIS MAZARS CAPITAL ADVISORS, LLC

Office #1: 4350 Congress Street Suite 900, Charlotte, NC 28209
BD
CRD#: 43427
Charlotte, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(6/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/12/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/11/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FM
FORVIS MAZARS CAPITAL ADVISORS, LLC
BKD CAPITAL ADVISORS, LLC | FORVIS MAZARS CAPITAL ADVISORS, LLC | FORVIS CAPITAL ADVISORS, LLC | BKD FINANCIAL L.L.C. | BKD CORPORATE FINANCE, LLC

CRD#: 43427 / SEC#: , 8-50322

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
910 East St. Louis Street, Suite 200, Springfield, MO 65806
Mailing Address
P.o. Box 1190, Springfield, MO 65806-2523
Phone number
(417) 865-8701
Established
Missouri since 07/20/1994
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORVIS MAZARS, LLPMEMBER
CORSON, JASON ANDREWCHIEF COMPLIANCE OFFICER4831976
DAVIS, ADAM MICHAELFINOP, CFO, PFO7744026
LINCH, SCOTT EDWARDPRESIDENT7940156

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.

Company Information

FORVIS MAZARS CAPITAL ADVISORS, LLC

CRD#: 43427Charlotte, NC 28209

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