Jeffrey Walters is a CFP-designated registered investment advisor, based in Charlotte, NC, with 27 years of industry experience.
Location
Charlotte, NC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Jeffrey provides investment advisory services through Independent Advisor Alliance and its DBA Know My Plan, dedicating about half of his time to these activities. He also spends minimal time on non-variable insurance through Highland Capital Brokerage and real estate rental through CDJW LLC.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
Raymond James Financial Services Advisors, INC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Independent Advisor Alliance, LLC
Suntrust Advisory Services, INC.
Suntrust Investment Services, INC.
Suntrust Investment Services, INC.Broker
Sun Life Financial Distributors, INC.Broker
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
Wachovia Securities, LLCBroker
Evergreen Investment Services, INC.Broker
First Union Brokerage Services, INC.Broker
Wheat, First Securities, INC.Broker
First Union Capital Markets CORP.Broker
State Registrations25 states
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.