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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Walters is a financial advisor with over 20 years of experience in the financial services industry. Jeffrey currently provides investment advisory services at Independent Advisor Alliance, LLC. Jeffrey is registered as a Broker-Dealer and an Investment Advisor in North Carolina, South Carolina, and Texas. Jeffrey holds the Series 7, 63 and 66 licenses, as well as the SIE license and is also a Certified Financial Planner. Jeffrey has a strong track record of providing sound financial advice to individuals, families, and businesses. Jeffrey works with clients to develop customized financial plans that address their unique needs and goals.
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.
A percentage of the total value of assets under management is charged.
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2
NC
09/01/2017 - Present
Independent Advisor Alliance, LLC (Charlotte NC)
NC
04/17/2009 - 09/06/2017
SUNTRUST INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MA
11/30/2006 - 03/26/2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
MN
06/03/2004 - 11/02/2006
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
06/03/2004 - 11/02/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MO
10/17/2001 - 05/20/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
04/04/2000 - 09/26/2001
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
10/22/1999 - 03/29/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
02/02/1998 - 12/07/1998
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NC
01/01/1998 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BOTH
Issued 06/22/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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