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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

Jeffrey Michael Walters

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Charlotte, NC

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Search this name across graphsid dfx:ria:bcb6b78b-3968-482a-b18b-39a25ad2265e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 23, 2009 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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: Jan 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jan 14, 1998
First registration: Jun 23, 2009
Dual registered: yes, broker-dealer
Other names: Jeff Walters
IAPD individual key: 2978154

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 22, 2026	n/a	yes	Charlotte, NC\|Charlotte, NC	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 3, 2025	Feb 12, 2026	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Sep 1, 2017	Jan 22, 2026	no	CHARLOTTE, NC\|Charlotte, NC\|Charlotte, NC\|Charlotte, NC\|Charlotte, NC	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Sep 13, 2016	Sep 6, 2017	no	CHARLOTTE, NC\|WAXHAW, NC\|SALISBURY, NC\|SALISBURY, NC\|SALISBURY, NC\|CHARLOTTE, NC	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jun 23, 2009	Dec 31, 2016	no	CHARLOTTE, NC\|MATTHEWS, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|SALISBURY, NC\|SALISBURY, NC\|SALISBURY, NC\|SPENCER, NC\|LANDIS, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|MATTHEWS, NC\|MOORESVILLE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|WAXHAW, NC\|MATTHEWS, NC\|CHARLOTTE, NC\|MATTHEWS, NC\|INDIAN TRAIL, NC\|CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Feb 12, 2026	Jan 22, 2026	-21	Firm change	Ibd to ibd
INDEPENDENT ADVISOR ALLIANCE, LLC	LPL FINANCIAL LLC	Jan 22, 2026	Jun 3, 2025	-233	Firm change after gap	Other
TRUIST ADVISORY SERVICES, INC.	INDEPENDENT ADVISOR ALLIANCE, LLC	Sep 6, 2017	Sep 1, 2017	-5	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Sep 13, 2016	-109	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283390:168267:NC:2017-09-06	Sep 6, 2017	Sep 1, 2017	CHARLOTTE, NC	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jan 22, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 3, 2025 to Feb 12, 2026factForm ADV
→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: previous registration
Sep 1, 2017 to Jan 22, 2026factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Sep 13, 2016 to Sep 6, 2017factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 23, 2009 to Dec 31, 2016factForm ADV

Dated events

Occurred
Feb 12, 2026
Advisor changed firm
Jeffrey Michael Walters left Lpl Financial Llc for Raymond James Financial Services Advisors, Inc (registered 2026-01-22)
Form ADVobserved 6 days ago
Occurred
Jan 22, 2026
Advisor changed firm
Jeffrey Michael Walters left Independent Advisor Alliance, Llc for Lpl Financial Llc (registered 2025-06-03)
Form ADVobserved 6 days ago