Robert Christopher Walter

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2006-02-17

MA RA
APPROVED

Since 2006-02-17

Branch Locations

Westford, MA • United States

4600 S Syracuse Ste 1010, Denver, CO 80237 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Co	Westford	MA	02/2006	Present
Principal Securities Inc	Westford	MA	02/2006	Present

02/2006 → Present

Principal Life Insurance Co

Westford, MA
02/2006 → Present

Principal Securities Inc

Westford, MA

Previous Registrations

2002-10-28 → 2006-01-23

Invesmart Advisors Inc

Portland, ME

Other Businesses

NABNASSET IMPROVEMENT ASSOCIATION, BOARD MEMBER, 10/15/13. ***Hannah Grace Bazemore Foundation; Not Investment Related; 16 Russell Hill Rd, Brookline, NH 03033; Board Member; Quarterly Meetings - help decide what services, speakers, & support for children benefiting from the foundation.; Start Date: 01/01/2019; 3 hrs per month; 0 during trading hours. PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/02/2022 ADDRESS: 201 Jones Rd, Waltham MA 02451, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both insurance/broker-dealer and bank/trust offerings of Principal.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-09-09
S63	Uniform Securities Agent State Law Examination	1992-04-09

S65 Uniform Investment Adviser Law Examination

2002-09-09
S63 Uniform Securities Agent State Law Examination

1992-04-09

Other Names

Robert C Walter

View on SEC IAPD