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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Walters is a financial advisor with Wells Fargo Clearing Services, LLC. Douglas has been in the industry since 1996 and holds Series 7, Series 63, and Series 65 licenses. Douglas has experience working with individuals, high-net-worth individuals, corporations, and charitable organizations. Douglas is also a registered investment advisor in Florida, New Jersey, New York, and Texas. In addition to his role at Wells Fargo Clearing Services, LLC, Douglas is also involved in several other businesses.
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.
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.
Investment consulting services to institutional clients
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
FL
07/08/2015 - Present
Wells Fargo Clearing Services, LLC (PALM BEACH GARDENS FL)
FL
04/27/2007 - 07/07/2015
JANNEY MONTGOMERY SCOTT LLC (PALM BEACH GARDENS FL)
NY
01/24/2001 - 05/01/2007
WACHOVIA SECURITIES, LLC (JOHNSTOWN NY)
FL
09/03/1998 - 12/07/2000
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
11/30/1995 - 09/14/1998
BARBER & BRONSON INCORPORATED (MIAMI FL)
IA
Issued 05/14/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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