Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Edmund Walters is a financial advisor with over 25 years of experience in the financial services industry. Arthur is currently registered with LPL Financial LLC. Prior to joining LPL Financial LLC, Arthur was associated with Fidelity Brokerage Services LLC, Fidelity Investments Institutional Services Company, Inc., Capital Brokerage Corporation, Allstate Financial Services, LLC, First Union Securities, Inc., First Union Brokerage Services, Inc., Evergreen Investment Services, Inc., The Dreyfus Service Corporation, and Waddell & Reed, Inc. Arthur holds multiple licenses and certifications, including Series 6, 7, 9, 24, 26, 63, and 66, as well as the Securities Industry Essentials Examination (SIE). Arthur’s experience includes providing financial planning, portfolio management, and consulting services to individuals, businesses, and institutions.
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.
Consulting and other non-discretionary advisory services
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.
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2
SC
09/26/2016 - Present
LPL Financial LLC (FORT MILL SC)
NC
01/01/2008 - 01/03/2012
FIDELITY BROKERAGE SERVICES LLC (CARY NC)
NC
02/23/2007 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CARY NC)
VA
07/18/2001 - 08/29/2001
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
NE
01/08/2001 - 05/22/2001
ALLSTATE FINANCIAL SERVICES, LLC (LINCOLN NE)
MO
10/01/2000 - 01/09/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
05/03/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
03/27/1998 - 04/07/2000
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
04/06/1995 - 12/09/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
03/08/1990 - 03/10/1995
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
KS
11/27/1987 - 07/13/1989
WADDELL & REED, INC. (OVERLAND PARK KS)
BOTH
Issued 01/16/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/23/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/27/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/27/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2010
Series 7 - General Securities Representative Examination
BC
Issued 02/22/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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