DAVID ALLEN WALTERS

DAVID ALLEN WALTERS is currently employed as a Broker and/or Investment Adviser at ADVISORY GROUP EQUITY SERVICES LTD. located at 1278 Glenneyre St #275, Laguna Beach, CA, 92651.

DAVID ALLEN WALTERS has worked at ADVISORY GROUP EQUITY SERVICES LTD. since June 29, 2017

Disclosure History

DAVID ALLEN WALTERS has 1 Disclosure Event(s).

Date: March 18, 2011
Category: Customer Dispute
Allegations: SYSTEMS EVOLUTION ALLEGES MR. WALTERS ACTING AS AN OFFICER OF SYSTEMS EVOLUTION ENGAGED IN A SERIES OF TRANSACTIONS THAT RESULTED IN SYSTEMS EVOLUTION HAVING A HIGH LEVEL OF DEBT.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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