Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter Allen is an investment advisor representative with Kestra Advisory Services, LLC. Walter has over 38 years of experience in the securities industry. Walter provides securities recommendations that meet his clients' investment objectives. Walter is registered with the following states: California, Colorado, Delaware, Florida, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Texas, and Virginia. Walter holds the following licenses: Series 3, Series 4, Series 7, Series 24, Series 31, Series 52TO, Series 53, Series 63, and Series 65. Walter's previous employers include LPL Financial LLC, Investment Perspectives Securities, Ltd., U.S. Securities, Inc., SECO West Limited, and Shearson Lehman Brothers 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.
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
NM
04/13/2017 - Present
Kestra Advisory Services, LLC (Santa Fe NM)
NM
11/24/1997 - 04/18/2017
LPL FINANCIAL LLC (SANTA FE NM)
PA
01/20/1995 - 12/09/1997
INVESTMENT PERSPECTIVES SECURITIES, LTD. (EMMAUS PA)
CT
02/10/1992 - 01/27/1995
U.S. SECURITIES, INC. (HARTFORD CT)
NY
11/12/1987 - 02/06/1992
SECO WEST LIMITED (WILLIAMSVILLE NY)
NA
05/23/1984 - 11/19/1987
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 08/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/1998
Series 24 - General Securities Principal Examination
BC
Issued 11/23/1994
Series 4 - Registered Options Principal Examination
BC
Issued 07/12/1989
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/28/1984
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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