Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Walter? Claim Your ProfileWalter T. Broughton is a registered representative and investment advisor representative, active in the financial services industry since 1987. Walter is currently associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Walter is licensed in multiple states and has a diverse range of investment experience. Walter has a deep understanding of various investment products and services, including equities, fixed income, and alternative investments. Walter's commitment to providing personalized financial guidance and a client-centric approach has earned him a strong reputation in the industry. Walter specializes in portfolio management for individuals and businesses, providing a comprehensive range of services, including financial planning, investment management, and retirement planning. Walter is committed to building long-term relationships with clients and helping them achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MN
04/02/1990 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MINNEAPOLIS MN)
IA
Issued 10/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
BC
Issued 01/05/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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