Walter L. Harrison
CETERA INVESTMENT ADVISERS LLC
YELM, WA 98597
Some features on this profile are disabled
CRD#: 855673
Professional summary
Walter Leon Harrison, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Yelm, Washington and CETERA WEALTH SERVICES, LLC located in Yelm, Washington.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Walter has worked at 7 firms and has passed the Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Long-term Care
Social Security Planning
Estate Planning
Insurance Planning
Small Business Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Tax Planning
Investment Planning
Retirement Planning
Are you a "fiduciary"?
Yes
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.
NAME OF ENTITY:Financial Partners, Inc.; Yes; 10739 CLARK RD SE; YELM; WA; 98597; FINANCIAL SERVICES/DBA; agent; 1/1/2005; 160; 160; sales and service of fixed insurance, securities and investment products|NAME OF ENTITY: independent insurance agent; Yes; 10739 CLARK RD SE; YELM; WA; 98597; fixed insurance; independent insurance agent; 5/26/2009; 160; 160; sales of fixed insurance products|NAME OF ENTITY:Harrison Studios; No; 10739 CLARK RD SE; YELM; WA; 98597; photography and videography; videographer; 8/1/2011; 10; 0; video weddings and special occassionsfee: $100 per hour|
CRS (Client Relationship Summary) - RIA
Click below to view Walter Leon Harrison'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®
CFP®
Start date: 1987
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 17100 State Route 507 Se, Yelm, WA 98597RIA
CRD#: 105644
YELM, WA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
YELM, WA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 1, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
YELM, WA
Past
October 1, 1995 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
YELM, WA
Past
July 1, 1992 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
July 18, 1991 - July 2, 1992
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
August 24, 1982 - April 9, 1991
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
May 14, 1982 - April 30, 1984
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Colorado(10/18/2021)
RR
Washington(6/9/2021)
IAR
Washington(6/29/2023)
Exams
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/8/1978
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
