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James Lincoln Walter

Founders Capital Management Inc

Houston, TX

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Current Employers
Founders Capital Management Inc

4400 Post Oak Parkway Suite 2530, Houston, TX 77027-3416 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-02-06
  • TX RA
    APPROVED
    Since 2012-02-06

Branch Locations

4400 Post Oak Parkway Suite 2530, Houston, TX 77027-3416 • 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
OrganizationCityStateFromTo
Connecticut General Life Insurance Co Houston TX 07/1992 Present
Lighthouse Capital Management Houston TX 08/2002 Present
Quasar Distributors, Llc Milwaukee WI 09/2002 Present
Shamrock Equity Advisors, Inc. Houston TX 04/2006 Present
  • 07/1992 → Present
    Connecticut General Life Insurance Co
    Houston, TX
  • 08/2002 → Present
    Lighthouse Capital Management
    Houston, TX
  • 09/2002 → Present
    Quasar Distributors, Llc
    Milwaukee, WI
  • 04/2006 → Present
    Shamrock Equity Advisors, Inc.
    Houston, TX
Previous Registrations
  • 2010-01-29 → 2012-01-24
    Shamrock Equity Advisors, Inc.
    Houston, TX
  • 2006-05-04 → 2009-12-31
    Shamrock Equity Advisors, Inc.
    Houston, TX
  • 2003-01-16 → 2006-07-19
    Lighthouse Capital Management
    Houston, TX
  • 1993-09-01 → 2002-08-21
    Charles Schwab & Co., Inc.
    Sugar Land, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-11
S63 Uniform Securities Agent State Law Examination 1992-09-25
  • S65 Uniform Investment Adviser Law Examination
    2005-07-11
  • S63 Uniform Securities Agent State Law Examination
    1992-09-25
Other Names
  • Jamie Walter
  • James L Walter

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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