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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter Leroy Sparks is a financial advisor with Raymond James & Associates, Inc. Walter has been working in the financial industry since June 1986, and has experience with a variety of financial products and services, including securities, commodities, and investments. Walter is registered with the Financial Industry Regulatory Authority (FINRA) and holds multiple securities licenses, including Series 3, 7, 8, 9, 10, 63, and 65. Walter is also a registered Investment Advisor Representative in Illinois, Missouri, and Texas. In addition to his experience with Raymond James & Associates, Inc., Walter has previously worked with Morgan Stanley DW Inc. and Everen Securities, Inc.
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.
Please see note in schedule d - miscellaneous
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
MO
08/08/2008 - Present
Raymond James & Associates, Inc. (Saint Louis MO)
NY
10/19/1994 - 04/24/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
09/04/1990 - 10/26/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
06/24/1986 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
IA
Issued 05/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/30/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
BC
Issued 04/02/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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