Richard WaltersCRD Number: 864624
Current Firm: Comprehensive Financial Planning Inc.
Richard Walters (CRD# 864624) is an Investment Advisor Representative working at Comprehensive Financial Planning Inc. in East Petersburg, PA and has over 24 years of experience in the finance industry. Richard Walters has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Northwestern Mutual Investment Services,llc
Kaufman Advisory Services, Inc.
Royal Alliance Associates, Inc.
|Fsc Securities Corporation||East Petersburg, PA||Mar 1988 - Current||30|
|Comprehensive Financial Planning, Inc.||East Petersburg, PA||Nov 1984 - Current||33|
|Richard J. Walters||Lancaster, PA||May 1983 - Current||34|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1993|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management288MILLIONS
Total Number of Accounts279ACCOUNTS
Average Account Value$1,032,726
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services