Daniel R. 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.
Daniel Russell Walters was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1976. Daniel had worked at 4 firms and has passed the Series 7, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1979 - June 9, 1982
OTC NET INCORPORATED
February 1, 1979 - November 3, 1979
BLINDER, ROBINSON & CO., INC.
October 13, 1976 - February 28, 1979
J DANIEL BELL & COMPANY, INC.
April 1, 1976 - May 3, 1976
DOUGLASS & CO. INCORPORATED
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
F04
Date: 11/9/1978
Financial Principal ExaminationSeries 40
Date: 11/25/1977
Registered Principal ExaminationCurrent firm
No current employment
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.
