Roger Dale Walton

Current Employers

Employment History

• 09/1999 → Present
  Equity Services, Inc.
  Montpelier, VT
• 09/1998 → Present
  Premier Financial Group
  Glenside, PA
• 04/2016 → Present
  Kestra Advisory Services, Llc
  Glenside, PA
• 07/2000 → Present
  Kestra Investment Services, Llc
  Glenside, PA

Other Businesses

Business Name: Roger D. Walton Investment Related: Yes Address: 19 S. Easton Road Glenside PA 19038 Nature of Business: Insurance Position, Title or Relationship: Owner Start Date: 10/5/1995 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Insurance Sales Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Trinity Financial Partners Investment Related: Yes Address: 119 S. Easton Road Glenside PA 19038 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Broker Start Date: 1/1/2010 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Insurance Sales Business Name: Premier Financial Group, Inc. - Roger D. Walton Investment Related: Yes Address: 119 South Easton Road Glenside PA 19038 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Premier Financial Group, Inc. is a branch that clears through Kestra. During a recent branch exam, it was revealed that we needed to disclose Rogers affiliation with Premier as a financial advisor. Premier is an investment company so they are capable of investing. Start Date: 10/1/1995 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Premier Financial Group, Inc. is a branch that clears through Kestra. During a recent branch exam, it was revealed that we needed to disclose Rogers affiliation with Premier as a financial advisor. Premier is an investment company so they are capable of investing. Business Name: ROGER D. WALTON, WMS, LLC POSITION: Owner NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/15/2021 ADDRESS: 636 Penn Ave, Glenside PA 19038 DESCRIPTION: Daily operations of business.

Exams

• S66 Uniform Combined State Law Examination
  2000-12-28
• S63 Uniform Securities Agent State Law Examination
  2000-01-14