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Registered advisor
D•••• A••• W••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Dave Waltz
At current firm
7 y
since May 9, 2019
In the industry
44 y
since Jul 1, 1982 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A•••••••• I••• BD affiliated currentsince May 9, 2019 · Evansville, In
- S••••••••• A•••••• A•••••••• I••• formerApr 27, 2000 to May 10, 2019 · Evansville, In
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to K••••• A•••••••• I•••left May 10, 2019, registered May 9, 2019 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address