David Walters (CRD# 4493228) is an Investment Advisor Representative working at Robert W. Baird & Company Incorporated in Battle Creek, MI and has over 22 years of experience in the finance industry.
CRD# 5287793
Huntington Financial Advisors
CRD# 6573407
Lpl Financial LLC
CRD# 6332865
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Robert W. Baird & Company Incorporated | Battle Creek, MI | Oct 2019 - Current | 4 |
| J.j.b. Hilliard, W.l. Lyons, LLC | Battle Creek, MI | Jan 2015 - Current | 9 |
| Bank Of America, Na | Portage, MI | Dec 2009 - Jan 2015 | 5 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portage, MI | Jun 2008 - Jan 2015 | 6 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 2002 |
| S66 | NASAA Uniform Combined State Law Examination | Nov 2008 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- MI
- OH
- TX
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Total Assets Under Management287,515MILLIONS
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Total Number of Accounts331,500ACCOUNTS
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Average Account Value$867,315
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
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- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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- Educational seminars/workshops
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