This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

SPC

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Apr 16, 1992earliest registration or exam on IAPD

Years in industry

34derivedfrom the industry start date

Years at current firm

7derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Apr 16, 1992

First registration

Sep 16, 2013

Dual registered

yes, broker-dealer

Other names

TONY WALTERS

IAPD individual key

2220470

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6c5719dd-e4a5-79b4-57b1-6259abf5fee6

First observed

Sep 16, 2013

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.