WH
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Walter Hooper
39 Years of Experience
Montgomery, AL
13 DisclosuresBroker
Walter Hooper is a registered investment advisor at Raymond James & Associates, INC., based in Montgomery, AL, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
7460 Halcyon Pointe Drive, Suite #101, Montgomery, AL, 36117
Get directionsHistory
Regulatory History (13)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2013Settled
Customer Dispute
December 2011Settled
Customer Dispute
August 2011Settled
Customer Dispute
June 2011Settled
Customer Dispute
October 2010Settled
Customer Dispute
August 2010Settled
Customer Dispute
June 2010Settled
Customer Dispute
August 2008Settled
Customer Dispute
April 2008Settled
Regulatory
January 1998Final
Regulatory
December 1996Final
Customer Dispute
March 1996Settled
Customer Dispute
March 1996Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 3 mos
Previous Registrations
Morgan Keegan & Company, INC.
August 1995 - February 2013 · 17 yrs 6 mos
Morgan Keegan & Company, INC.Broker
October 1994 - February 2013 · 18 yrs 4 mos
Amsouth Investment Services, INC.Broker
May 1988 - October 1994 · 6 yrs 5 mos
Morgan Keegan & Company, INC.Broker
September 1986 - February 1988 · 1 yr 5 mos
State Registrations11 states
ALARCOFLGAKYLAMDNCOHTN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.