Paul Arthur Walters

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 03/1999 → 11/2017
  National Planning Corporation
  Las Flores, CA
• 11/2017 → Present
  Lpl Financial Llc
  Rancho Santa Margarita, CA

Previous Registrations

• 2001-12-03 → 2017-11-29
  National Planning Corporation
  Rancho Santa Margarita, CA

Other Businesses

1. 11/29/2017 - Citadel Law Firm - Not Investment Related - Other - 4 Hours Per Month/0 Hours During Securities Trading - Paralegal. 2. 11/29/2017 - Various Insurers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Life Insurance. 3. 11/29/2017 - No Business Name - Not Investment Related - Corona, CA - Real Estate Rental - 2 Hours Per Month - Owner. 4. 8/3/2018 - Orange County Football Officials Association - Not Investment Related - Various Football fields throughout Orange County - Other-High School football referee - Start Date: 08/10/2018 - 10 Hours Per Month/0 Hours During Securities Trading - Referee for high school football games.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-30
• S63 Uniform Securities Agent State Law Examination
  1993-08-20

Designations

• Certified Financial Planner