Richard J. Walls
Professional summary
Richard James Walls, who also goes by Rick Walls, is a registered financial advisor currently at WALLS INVESTMENT MANAGEMENT COMPANY located in Bluffton, South Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Richard has worked at 9 firms and has passed the Series 63, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Walls's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 1996 - Present
WALLS INVESTMENT MANAGEMENT COMPANY
Office #1: 102 Buckwalter Parkway Suite 3y, Bluffton, SC 29910October 20, 1994 - November 13, 1998
BOENNING & SCATTERGOOD, INC.
May 2, 1990 - October 19, 1994
R.J. WALLS & CO., INC.
May 27, 1986 - October 14, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 1983 - June 18, 1984
MABON, NUGENT & CO.
July 21, 1982 - July 20, 1984
J.J. LOWERY & CO
March 26, 1979 - January 5, 1982
SCHRODER & CO. INC.
August 8, 1977 - April 28, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 25, 1975 - October 9, 1976
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/20/1996)
(4/13/2009)
Exams
Current Firm
WALLS INVESTMENT MANAGEMENT COMPANY
CRD#: 123440 / SEC#: 801-64253
Contact information
Regulatory assets under management
| Total Number of Accounts | 150 |
| AUM (Assets Under Management) | $ 50,959,339 |
Red Flags
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