Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter Auch is an investment advisor representative for Sophis Investments LLC. Walter has 38 years of experience in the securities industry. Walter is registered with the state of Connecticut as an Investment Advisor Representative. Walter has a Series 63 and Series 66 license. Walter's previous employment includes positions at Herbert J. Sims & Co. Inc., Midtown Partners, Drexel Hamilton, LLC, Searle & Co., Nutmeg Securities, Ltd., FSC Securities Corporation, Paine Webber Incorporated, CitiCorp Securities Markets, Inc., Kidder, Peabody & Co. Incorporated, Thomson McKinnon Securities Inc., and Paine, Webber, Jackson & Curtis Inc. Walter is a trustee of Renaissance Capital Greenwich Funds. Walter is also the Managing Director of Auch Partners, an executive recruiting firm.
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.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CT
07/09/2018 - Present
Sophis Investments LLC (Greenwich CT)
CT
09/27/2013 - 07/28/2016
HERBERT J. SIMS & CO. INC. (FAIRFIELD CT)
FL
08/25/2011 - 10/02/2013
MIDTOWN PARTNERS (LAND O LAKES FL)
NY
01/05/2009 - 08/19/2009
DREXEL HAMILTON, LLC (NEW YORK NY)
CT
09/19/2006 - 01/03/2007
SEARLE & CO. (GREENWICH CT)
NY
07/09/2003 - 10/07/2004
NUTMEG SECURITIES, LTD. (NEW YORK NY)
GA
02/02/1999 - 08/14/2001
FSC SECURITIES CORPORATION (ATLANTA GA)
NY
08/09/1991 - 02/14/1997
NUTMEG SECURITIES, LTD. (NEW YORK NY)
NJ
02/27/1984 - 08/23/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
04/02/1987 - 02/02/1988
CITICORP SECURITIES MARKETS, INC.
NA
12/03/1981 - 06/27/1983
KIDDER, PEABODY & CO. INCORPORATED
NA
06/11/1981 - 11/15/1981
THOMSON MCKINNON SECURITIES INC.
NA
01/31/1980 - 05/17/1981
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
09/01/1972 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BOTH
Issued 02/10/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/28/2016
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2016
Series 52 - Municipal Securities Representative Examination
BC
Issued 01/20/2015
Series 3 - National Commodity Futures Examination
BC
Issued 11/08/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 08/19/1972
Series 1 - Registered Representative Examination
Active
Inactive
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