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2564 18Th Street South, Birmingham, AL 35209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2024-06-27 |
| TX | RA | APPROVED_RES | 2024-06-27 |
Branch Locations
2564 18Th Street South, Birmingham, AL 35209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 11/1999 | 06/2024 |
| Walton Financial | Birmingham | AL | 11/1999 | Present |
| Walton Financial | Birmingham | AL | 06/2024 | Present |
1. Fixed insurance sales - fixed life (term life), health insurance, disability insurance, and long term care insurance, as of 01/2000; approximately 1% time spent during business hours; conducted at branch location; investment related. 2. SURR Realty, LLC - sole member of entity created to own branch office building, as of 09/21/2004, less than 1% of time spent during business hours, conducted at branch, investment related. 3. BBQ Digest, Inc. - author and 25% owner of entity created to publish cookbooks, as of 2009, 1% of time spent during business hours, not at branch location, not investment related. 4. Montgomery Building, LLC, Sole owner of entity created to own branch office building, as of 2014, investment related, at branch location. 5. Co-authoring book with spouse, as of 2016, approximately 10% of time during business hours, not investment related. conducted from branch location.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-23 |
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