David Anthony Walters
Investment adviser representative at Spc
30 yearsExperience
1 stateRegistered in
$6.1BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
30 years in the industry.
- SpcJun 2019 to now
- Parkland Securities LLCJun 2019 to now
- Sigma Planning CorporationJun 2019 to now
- Oneamerica SecuritiesJan 2018 to May 2019
- American United LifeSep 2017 to May 2019
- Foresters Equity Services, IncMar 2011 to Jan 2018
- Cardinal Insurance & Financial Services,Apr 1996 to Jan 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law1992
- Series 65 · Uniform Investment Adviser Law2013
State registrations
Registered as an investment adviser representative in 1 state (KY).
Spc
Legal name: Sigma Planning Corporation
$6.1BAssets managed
30,916Clients
474Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2220470
- Firm CRD
- 110692