David Waltz, financial advisor Evansville IN
96 score

David Waltz

CRD Number: 1400223
Current Firm: Securities America Advisors, Inc.

David Waltz (CRD# 1400223) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Evansville, IN and has over 30 years of experience in the finance industry. David Waltz 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.

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Professional Designations
Company Name Location Dates Years
Securities America Advisors, Inc. Evansville, IN Apr 2000 - Current 16
Securities America Inc. Omaha, NE Mar 2000 - Current 16
Insurance Brokerage Evansville, IN Aug 1982 - Current 34
D.a. Waltz And Associates Evansville, IN Jul 1982 - Current 34
D.a. Waltz And Associates Evansville, IN Jul 1982 - Current 34
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1986
S65 NASAA Investment Advisors Law Examination Jun 1997
Contact Info for David A. Waltz
Phone Number: 402-399-9111
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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