Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Matthew Walters is an investment advisor representative with Rockefeller Financial LLC and Rockefeller Capital Management. Todd has been working in the financial industry since 2004 and is registered to provide investment advice in multiple states. Todd has extensive experience in the financial services industry, including experience as a registered representative, a general securities principal, and an investment advisor representative. Todd is a Series 7, Series 10, Series 24, Series 3, Series 63, and Series 65 licensed professional. Todd holds a Series 99TO, Series 79TO, and SIE license. Todd’s clients include individuals, corporations, pension and profit-sharing plans, high-net-worth individuals, and charitable organizations.
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.
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.
1
2
GA
06/01/2022 - Present
Rockefeller Financial LLC (ATLANTA GA)
FL
12/12/2011 - 06/30/2022
SPEARHEAD CAPITAL, LLC (Wellington FL)
NY
04/03/2009 - 12/07/2011
AMBATA SECURITIES, LLC (NEW YORK NY)
NY
11/30/2007 - 07/11/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/12/2004 - 07/25/2006
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
IA
Issued 05/31/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2011
Series 24 - General Securities Principal Examination
BC
Issued 02/28/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/14/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2014
Series 3 - National Commodity Futures Examination
BC
Issued 08/11/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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