Richard Keen Walters

Current Employers

Employment History

• 09/2003 → 11/2018
  John Hancock Finanacial Sevices
  Atlanta, GA
• 09/2003 → 11/2018
  Sii
  Alpharetta, GA
• 11/2018 → Present
  Osaic Wealth, Inc.
  Alpharetta, GA

Previous Registrations

• 2006-02-15 → 2018-11-02
  Signator Investors, Inc.
  Atlanta, GA
  Alpharetta, GA

Other Businesses

1) INSURANCE BROKER-LIFE & ANNUITIES,AGENT, 400 PERIMETER CENTER TERR, ATLANTA GA 30346,INSURANCE BROKERAGE, START DATE-11/03, APROX 5HRS MONTHLY & APROX 5HRS BUSINESS. 2) INSURANCE BROKER: HEALTH/GROUP BENEFITS, BOTTOM LINE BENEFITS, 115 PERIMETER CTR PL STE 150 ATLANTA, GA 30346, START DATE 6/1/15, APPROX. 5 HRS MO & LESS THAN 1 HR DURING TRADING HRS. 3) RENTAL PROPERTY OWNER AT WALTERS PROPERTIES POSITION: owner NATURE:LLC INVESTMENT RELATED: Yes # OF HRS:1 SECURITIES TRADING HRS: 0 START DATE: 11/1/16 ADDRESS: 10235 groomsbridge rd, alpharetta GA 30005 DESCRIPT: i am a shareholder 4) INSURANCE BROKERAGE POSITION: broker NATURE: insurance brokerage life disability/LTC ins INVESTMENT RELATED: Yes # OF HOURS: 80 SECURITIES TRADING HRS: 80 START DATE: 6/1/94 ADDRESS:3520 old milton parkway, alpharetta GA 30022 DESCRIPT: insurance sales 5) CREATIVE COMMUNITY SERVICES POSITION: board member/Secretary NATURE: a non profit that improves the quality of life for kids/teens/young adults. They often have developmental disabilities and mental health needs. They provide direct services/community based support throughout Georgia. As secretary I will help with the minutes of the periodic board meetings. INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HRS: 1 START DATE: 9/1/22 ADDRESS: 1650 oakbrook dr, norcross GA 30093 DESCRIPT: board member duties: work with director/make sure they run organization effectively/make decisions to help support future of the organization/board monitors & evaluates the future success of the non profit/board members are an advocate for the future of the nonprofit

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-02-17
• S63 Uniform Securities Agent State Law Examination
  1995-07-20

Other Names

• Richard K Walters