Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Walters is a financial advisor with over 35 years of experience in the industry. Adam is currently registered with UBS Financial Services Inc. and is licensed to provide financial services in multiple states, including Washington, Texas, and Florida. Adam has held previous positions with Piper Jaffray & Co., U.S. Bancorp Investments, Inc., U.S. Bancorp Securities, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Adam holds the Series 7, Series 63, Series 53, and SIE licenses. Adam specializes in providing financial planning, portfolio management, and pension consulting services to a variety of clients including individuals, corporations, and charitable organizations. Adam is also a board member at Sand Point Country Club.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
WA
08/12/2006 - Present
UBS Financial Services Inc. (SEATTLE WA)
WA
11/16/1998 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
MN
09/03/1997 - 11/16/1998
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
04/12/1990 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
NA
05/13/1988 - 12/31/1990
U.S. FINANCIAL SECURITIES, INC.
NA
10/23/1985 - 11/03/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
11/21/1984 - 12/23/1985
NEL EQUITY SERVICES CORPORATION
IA
Issued 01/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/10/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Adam Walters is the right advisor for you? Invested Better is here to help.
