Inactive

Douglas Scott Walters

Strategic Financial Services

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Current Employers

Strategic Financial Services

114 Business Park Drive, Utica, NY 13502 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-10

NY RA
APPROVED

Since 2021-11-10

Branch Locations

114 Business Park Drive, Utica, NY 13502 • 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

Organization	City	State	From	To
Cadaret, Grant & Co., Inc	Utica	NY	08/2014	07/2019
Strategic Financial Services, Llc	Utica	NY	06/2014	Present

08/2014 → 07/2019

Cadaret, Grant & Co., Inc

Utica, NY
06/2014 → Present

Strategic Financial Services, Llc

Utica, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2006-10-23

S63 Uniform Securities Agent State Law Examination

2006-10-23

Designations

Other Names

Douglas Walters

View on SEC IAPD

Other Firms

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

PARADIGM CONSULTING, INC.

OSAIC WEALTH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

COMMONWEALTH FINANCIAL NETWORK

MML INVESTORS SERVICES, LLC

Other Investors

Francesca Mae Asher

Kyle J Dempster

Nicholas A Accordino

JUDITH VICKS-SWEET

LAURA ELLEN POWERS

Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · UTICA, NY

PARADIGM CONSULTING, INC. · UTICA, NY

OSAIC WEALTH, INC. · UTICA, NY

MORGAN STANLEY · Utica, NY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · UTICA, NY

ROBERT W. BAIRD & CO. INCORPORATED · New Hartford, NY

COMMONWEALTH FINANCIAL NETWORK · New Hartford, NY

MML INVESTORS SERVICES, LLC · New Hartford, NY

More in Utica, NY

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