Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Walters is a financial advisor with over 40 years of experience in the industry. Philip is currently registered with Wells Fargo Clearing Services, LLC, and has held previous positions with Wells Fargo Investments, LLC, Wells Fargo Van Kasper, LLC, Quincy Cass Associates, Incorporated, Bear, Stearns & Co. Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Philip holds a number of securities licenses, including Series 3, 7, 15, 63, and 65. Philip provides a range of financial advisory services, including financial planning, portfolio management, investment consulting services to institutional clients, and selection of other advisors.
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.
1
2
CA
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
07/11/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BEVERLY HILLS CA)
CA
01/20/1999 - 07/11/2001
WELLS FARGO VAN KASPER, LLC (SAN FRANCISCO CA)
CA
05/06/1991 - 09/16/1999
QUINCY CASS ASSOCIATES, INCORPORATED (LOS ANGELES CA)
NY
07/21/1986 - 05/02/1991
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
09/23/1983 - 07/31/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 06/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1988
Series 3 - National Commodity Futures Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 09/17/1983
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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