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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 Scott Newmann is a financial advisor in DALLAS, TX and has been in the industry since 1984. Walter is currently registered with Raymond James & Associates, Inc. in DALLAS, TX. Walter has also been registered with PRINCIPAL FINANCIAL SECURITIES,INC. in DALLAS, TX, from 1984-1998. Walter has passed several exams, including the Uniform Investment Adviser Law Examination (Series 65), Uniform Securities Agent State Law Examination (Series 63), General Securities Sales Supervisor - Options Module Examination (Series 9), General Securities Sales Supervisor - General Module Examination (Series 10), Registered Options Principal Examination (Series 4), General Securities Sales Supervisor Examination (Options Module & General Module) (Series 8), Securities Industry Essentials Examination (SIE) and General Securities Representative Examination (Series 7). Walter Scott Newmann specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
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
TX
03/27/1998 - Present
Raymond James & Associates, Inc. (DALLAS TX)
TX
09/20/1984 - 04/16/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
IA
Issued 11/19/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 10/18/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative 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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