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DAVID STANLEY WALTERS
CRD#: 3192566
IA
B
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 440 South College Road
Wilmington, NC 28403
Wilmington, NC 28403
0
Disclosures
25
Years of Experience
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State Registrations
IA
North Carolina 11/19/2021
B
North Carolina 11/30/2021
SRO Registrations
B
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IA
Registered with this firm since 11/19/2021
B
Registered with this firm since 11/19/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/06/2013 - 11/23/2021 | WILMINGTON, NC | |
B | 04/19/2013 - 11/23/2021 | WILMINGTON, NC | |
B | 11/22/2006 - 06/18/2012 | HARTFORD, CT | |
B | 03/18/1999 - 11/09/2006 | WILMINGTON, NC | |
B | 03/18/1999 - 11/09/2006 | WILMINGTON, NC |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.