DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Brenda Lee Walters
Feed of 09/15/2026
Also filed as Brenda Lee Walters
At current firm
0 y
since Apr 30, 2026
In the industry
18 y
since Feb 25, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Northwestern Mutual Investment Services,LLC no RAUM currentsince Apr 30, 2026 · Murphy, Nc
- Raymond James & Associates, Inc. national BDFeb 12, 2019 to Mar 3, 2026 · St. Petersburg, Fl
- Raymond James Financial Services Advisors, Inc BD affiliatedJul 3, 2018 to Jul 13, 2021 · St Petersburg, Fl
- Raymond James & Associates, Inc. national BDJul 21, 2016 to Jun 20, 2018 · St. Petersburg, Fl
- Commonwealth Financial Network national BDOct 2, 2014 to Mar 10, 2016 · Mt. Pleasant, Sc
- Wells Fargo Advisors wirehouseMar 26, 2012 to Sep 9, 2014 · Charleston, Sc
- UBS Financial Services Inc. wirehouseFeb 26, 2008 to Mar 30, 2012 · Charleston, Sc
Moves
a registration end followed by a registration begin elsewhere
- Raymond James & Associates, Inc. to Northwestern Mutual Investment Services,LLCleft Mar 3, 2026, registered Apr 30, 2026 (58 days) · Other
- Raymond James Financial Services Advisors, Inc to Raymond James & Associates, Inc.left Jul 13, 2021, registered Feb 12, 2019 (-882 days) · Affiliated broker-dealer or bank to another
- Raymond James & Associates, Inc. to Raymond James Financial Services Advisors, Incleft Jun 20, 2018, registered Jul 3, 2018 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
- Commonwealth Financial Network to Raymond James & Associates, Inc.left Mar 10, 2016, registered Jul 21, 2016 (133 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to Commonwealth Financial Networkleft Sep 9, 2014, registered Oct 2, 2014 (23 days) · Wirehouse to affiliated broker-dealer or bank
- UBS Financial Services Inc. to Wells Fargo Advisorsleft Mar 30, 2012, registered Mar 26, 2012 (-4 days) · Wirehouse to wirehouse
Signals
- Brenda Lee Walters left Raymond James & Associates, Inc. for Northwestern Mutual Investment Services,Llc (registered 2026-04-30)Mar 3, 2026 · Advisor changed firm · fact
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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address