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JOSEPH BRIAN WALTERS
JOE B. WALTERS
CRD#: 4440197
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 555 CAPITOL MALL
SUITE 747
SACRAMENTO, CA 95814
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 555 Capitol Mall
Suite 747
Sacramento, CA 95814
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2017 (5 years)2 FIRMS2017 - Present (7 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2007 (5 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2007 (5 years)
License(s)

State Registrations

B
Alabama 1/23/2023

B
Nebraska 6/3/2021

B
Arizona 6/1/2018

B
Nevada 10/16/2018

B
California 6/2/2017

B
New Hampshire 8/16/2023

IA
California 6/9/2017

B
New York 2/2/2022

B
Colorado 6/4/2021

B
Ohio 11/18/2022

B
Connecticut 2/25/2019

B
Oklahoma 6/2/2017

B
Florida 8/3/2017

B
Oregon 7/17/2024

B
Georgia 7/27/2020

B
Pennsylvania 11/15/2021

B
Hawaii 5/17/2024

B
South Carolina 11/17/2022

B
Idaho 6/1/2018

B
South Dakota 2/24/2023

B
Indiana 5/20/2019

B
Tennessee 2/3/2021

B
Iowa 6/16/2023

B
Texas 12/7/2017

B
Maine 4/4/2024

IA
Texas 9/19/2018

B
Maryland 11/21/2022

B
Utah 2/22/2022

B
Michigan 7/2/2020

B
Virgin Islands 5/18/2020

B
Missouri 9/7/2017

B
Washington 6/17/2020

B
Montana 12/2/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
555 CAPITOL MALL SUITE 747, SACRAMENTO, CA 95814
Registered with this firm since 6/9/2017

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
555 Capitol Mall Suite 747, Sacramento, CA 95814
Registered with this firm since 6/2/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/24/2011 - 06/09/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SACRAMENTO, CA
B
10/24/2011 - 06/09/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SACRAMENTO, CA
IA
06/01/2009 - 11/07/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SACRAMENTO, CA
B
06/01/2009 - 11/07/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SACRAMENTO, CA
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SACRAMENTO, CA
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SACRAMENTO, CA
IA
03/26/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) AUBURN, CA
B
10/17/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) AUBURN, CA
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B
Broker
IA
Investment Adviser
Disclosures
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.