Nathan Robert Walters

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 10/2018
  Principal Life Insurance Co
  Seattle, WA
• 10/2009 → 10/2018
  Princor Financial Services Corp
  Seattle, WA
• 02/2015 → Present
  Walters Wealth Management Llc
  Mercer Island, WA
• 10/2018 → 01/2024
  Lpl Financial
  Mercer Island, WA
• 01/2024 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 2018-10-22 → 2024-01-31
  Lpl Financial Llc
  Mercer Island, WA
  Renton, WA
  Poulsbo, WA
• 2009-10-16 → 2018-10-22
  Principal Securities, Inc.
  Seattle, WA
  Des Moines, IA
  Seattle, WA
  Seattle, WA
  Lake Oswego, OR
• 2001-02-01 → 2009-10-07
  Pruco Securities, Llc.
  Mercer Island, WA

Other Businesses

1. Owner, Walters Wealth Management, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 02/10/2015; 100% time spent during business hours; Conducted at branch; Investment related. 2. Fixed insurance sales; as of 01/17/2024; 1% of time spent during business hours; Conducted at branch location; Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-11
• S63 Uniform Securities Agent State Law Examination
  1991-04-17

Designations

• Chartered Financial Consultant