Richard J. Walters
Professional summary
Richard John Walters, AIF®, CFP® is a registered financial advisor currently at COMPREHENSIVE FINANCIAL PLANNING, INC. located in East Petersburg, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Richard has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Walters's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1987
Experience
February 19, 1991 - Present
COMPREHENSIVE FINANCIAL PLANNING, INC.
Office #1: 5995 Lemon Street, East Petersburg, PA 17520March 30, 1988 - October 2, 2015
FSC SECURITIES CORPORATION
June 7, 1983 - April 5, 1988
OSAIC FS, INC.
April 16, 1979 - May 25, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
COMPREHENSIVE FINANCIAL PLANNING, INC.
CRD#: 110937 / SEC#: 801-55646
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/19/1991)
Exams
Series 1
Date: 4/9/1979
Registered Representative ExaminationCurrent Firm
COMPREHENSIVE FINANCIAL PLANNING, INC.
CRD#: 110937 / SEC#: 801-55646
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 578 |
| AUM (Assets Under Management) | $ 419,299,134 |
Red Flags
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Company Information
COMPREHENSIVE FINANCIAL PLANNING, INC.
CRD#: 110937East Petersburg, PA 17520TRUST BUT VERIFY
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