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William Haywood Walters

Ameriprise Financial Services, LLC

Tampa, FL

Tampa, FL

Tampa, FL

CRD 1219745

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

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

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-10-31
FL RA APPROVED 1992-09-15
  • TX RA
    APPROVED_RES
    Since 2007-10-31
  • FL RA
    APPROVED
    Since 1992-09-15

Branch Locations

Tampa, FL • United States

7432 Monika Manor Dr, Tampa, FL 33625-5826 • United States

Tampa, FL • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Tampa FL 09/2005 03/2020
Ameriprise Financial Services, Llc Tampa FL 03/2020 Present
Other Businesses

Outside Employment; Eliah Ewing Enterprises, PLLC; Financial Advisor - Employee; Financial Planning for clients; 7432 Monika Manor Dr, , Tampa, FL, 33625; Investment-Related; 01/02/2018; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-02-08
  • S63 Uniform Securities Agent State Law Examination
    1994-02-08
Other Names
  • Will Walters
  • William Walters

View on SEC IAPD

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