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David Paul Walta

Mml Investors Services, LLC

Vestavia Hills, AL

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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-08-29
AL RA APPROVED 2017-11-01
  • TX RA
    APPROVED_RES
    Since 2018-08-29
  • AL RA
    APPROVED
    Since 2017-11-01

Branch Locations

4553 Pine Tree Circle Suite 134, Vestavia Hills, AL 35243 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 04/2013 09/2017
Northwestern Mutual Investment Services, Llc Hoover AL 04/2013 09/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 04/2013 09/2017
Mass Mutual Life Insurance Company Birmingham AL 09/2017 Present
Mml Investors Services, Llc Birmingham AL 10/2017 Present
  • 04/2013 → 09/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 04/2013 → 09/2017
    Northwestern Mutual Investment Services, Llc
    Hoover, AL
  • 04/2013 → 09/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 09/2017 → Present
    Mass Mutual Life Insurance Company
    Birmingham, AL
  • 10/2017 → Present
    Mml Investors Services, Llc
    Birmingham, AL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-22
S63 Uniform Securities Agent State Law Examination 2014-04-23
  • S65 Uniform Investment Adviser Law Examination
    2014-12-22
  • S63 Uniform Securities Agent State Law Examination
    2014-04-23

View on SEC IAPD

Other Firms

RFG ADVISORY, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BCR WEALTH STRATEGIES
CETERA INVESTMENT ADVISERS LLC
APPROACH RETIREMENT ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
PNC WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC

Other Investors

BOBBY RAY TRUST WHITE
HARRIS TODD DOOBROW
MARK ANDREW PEARSON
ERIC JOSEPH BLAKE
HEIDI MARIE BIRD
AUDREY IVY PIERSON
RYAN CHRISTOPHER WHITLEY
BRIAN DAVID SWILLING

Other Offices

RFG ADVISORY, LLC · VESTAVIA HILLS, AL
RFG ADVISORY, LLC · Vestavia Hills, AL
AMERIPRISE FINANCIAL SERVICES, LLC · Vestavia, AL
BCR WEALTH STRATEGIES · VESTAVIA, AL
CETERA INVESTMENT ADVISERS LLC · MOUNTAIN BROOK, AL
APPROACH RETIREMENT ADVISORS, LLC · BIRMINGHAM, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Vestavia, AL
PNC WEALTH MANAGEMENT LLC · CAHABA HEIGHTS, AL

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