Mark Curtis Walter

Investment Adviser Representative at IP FINANCIAL ADVISORY SERVICES LLC

CHARLOTTE, NCCRD #1884999Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

37 yrs

States Registered

3 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 3 states

ArizonaCaliforniaColorado

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 2/4/1999

Series 63

Uniform Securities Agent State Law Examination

Passed 6/27/1989

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 8/28/1996

Series 6

Investment Company Products/Variable Contracts Representative Examination

Passed 6/23/1989

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

IP FINANCIAL ADVISORY SERVICES LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INNOVATION PARTNERS LLCCurrent

6/2/2025 – CHARLOTTE, NC

GRIFFIN FINANCIAL SERVICES

9/8/1995 – 1/20/1997

METLIFE SECURITIES INC.

6/26/1989 – 9/1/1995SPRINGFIELD, MA

METROPOLITAN LIFE INSURANCE COMPANY

6/26/1989 – 9/1/1995NEW YORK, NY

CHASE INVESTMENT SERVICES CORP.

5/2/2009 – 10/1/2012SIMI VALLEY, CA

WAMU INVESTMENTS, INC.

3/24/2000 – 5/2/2009SIMI VALLEY, CA

ALLIANCE ADVISORY & SECURITIES, INC.

2/13/1997 – 10/23/1997WESTLAKE VILLAGE, CA

WESTERN INTERNATIONAL SECURITIES, INC.

10/18/2013 – 6/3/2025Westlake Village, CA

THE DREYFUS SERVICE CORPORATION

10/15/1997 – 3/21/2000NEW YORK, NY

J.P. MORGAN SECURITIES LLC

10/1/2012 – 10/21/2013SIMI VALLEY, CA

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark Curtis Walter has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.