Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Anthony Walters is an investment advisor representative at SPC. David has over 30 years of experience in the financial services industry. David is registered with the state of Kentucky and is also registered with FINRA. David has obtained the Series 6, Series 63, and Series 65 licenses as well as the SIE exam. David is a licensed insurance agent, and has worked for multiple firms in the past. David is a dedicated professional who is committed to providing his clients with the best possible financial advice. David is also a member of the National Association of Insurance and Financial Advisors (NAIFA).
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.
Consultation 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.
A percentage of the total value of assets under management is charged.
Seminar attendance fees
1
2
MI
06/03/2019 - Present
SPC (ANN ARBOR MI)
KY
01/25/2018 - 06/07/2019
ONEAMERICA SECURITIES, INC. (Lexington KY)
CA
03/17/2011 - 01/25/2018
FORESTERS EQUITY SERVICES, INC. (SAN DIEGO CA)
KY
09/23/2009 - 03/16/2011
ONEAMERICA SECURITIES, INC. (LONDON KY)
KY
11/08/2002 - 09/23/2009
SAMMONS SECURITIES COMPANY, LLC (LONDON KY)
CO
12/20/2001 - 10/24/2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION (COLORADO SPRINGS CO)
IL
04/24/2000 - 12/20/2001
RICHARD B. VANCE & COMPANY (JOLIET IL)
MN
05/21/1999 - 04/25/2000
FORTIS INVESTORS, INC. (OAKDALE MN)
NA
05/04/1999 - 05/13/1999
FORTIS INVESTORS, INC.
CA
06/16/1998 - 04/30/1999
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
MN
09/30/1993 - 06/19/1998
FORTIS INVESTORS, INC. (OAKDALE MN)
NJ
04/20/1992 - 04/07/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
04/20/1992 - 04/07/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 09/05/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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