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ROBERT DERICK WALTERS
DERICK WALTERS, ROBERT D WALTERS
CRD#: 5984927
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 200 W VINE ST
STE 200
LEXINGTON, KY 40507
STE 200
LEXINGTON, KY 40507
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 200 W VINE ST
STE 200
LEXINGTON, KY 40507
STE 200
LEXINGTON, KY 40507
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Alabama 8/25/2021
B
Minnesota 8/25/2021
B
Alaska 3/9/2021
B
Mississippi 8/2/2023
B
Arkansas 2/17/2021
B
Missouri 3/23/2021
B
California 2/17/2021
B
New York 2/17/2021
B
Colorado 8/25/2021
B
North Carolina 2/17/2021
B
Connecticut 8/25/2021
B
Ohio 2/17/2021
B
Florida 2/17/2021
B
Pennsylvania 8/25/2021
B
Georgia 3/6/2023
B
South Carolina 8/25/2021
B
Illinois 2/17/2021
B
Tennessee 2/17/2021
B
Indiana 8/25/2021
B
Texas 2/17/2021
B
Kentucky 2/17/2021
IA
Texas 12/7/2021
IA
Kentucky 2/17/2021
B
Virginia 2/17/2021
B
Louisiana 8/25/2021
B
Washington 8/25/2021
B
Maryland 8/25/2021
B
West Virginia 8/25/2021
B
Michigan 2/17/2021
SRO Registrations
B
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B
Registered with this firm since 2/17/2021
IA
Registered with this firm since 2/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/18/2018 - 02/17/2021 | RICHMOND, VA | |
B | 05/18/2018 - 02/17/2021 | RICHMOND, VA | |
IA | 04/09/2015 - 05/31/2018 | LEXINGTON, KY | |
B | 04/09/2015 - 05/31/2018 | LEXINGTON, KY | |
IA | 12/23/2011 - 04/06/2015 | LEXINGTON, KY | |
B | 11/22/2011 - 04/06/2015 | LEXINGTON, KY |
LEXINGTON, KY
12/23/2011 - 04/06/2015
LEXINGTON, KY
11/22/2011 - 04/06/2015
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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.