Business Description

As independent professional advisors, we can offer you a personalized financial strategy, not a generic investment program. Your individual portfolio will be based on your unique situation, your attitudes, preferences and goals. It will be designed to account for change, both in the market and in your circumstances, so that it can work with you and for you at every stage of your life.

Our approach to investing is straightforward: we focus on becoming your partner in building the future you desire. As we work together, our advisors will thoroughly explain the investment strategies recommended, so that you'll be fully comfortable with all aspects of your investment program. Every decision we make will be focused on achieving the results you want. Our mission is to help our clients achieve financial independence through professional advice, sound risk management, quality investment products, and personal, efficient service.

General Information

Gender:

Male

CRD#:

1465509

Firm CRD#:

6694

Insurance License#:

0A56425

Name of Broker/Dealer:

Raymond James Financial Services, Inc.

States Licensed in:

California plus others

States Willing to do Business in:

All

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Craig has over 23 years of a senior level experience at some of Wall Street's largest brokerage firms. Craig's investment discipline focuses on scrupulous risk analysis, asset allocation and individual security selection. He has extensive expertise in financial, retirement, and estate planning. Craig has a proven track record of diversified investment strategies for a wide variety of clients including corporations, foundations, and individuals. He is adept at developing and maintaining mutually profitable business relationships. Business associates have described Craig as conservative, responsible, level headed, honest, good listener, good sense of humor, easy to work with, dynamic, enthusiastic and energetic.

Prior to founding our firm, Craig was Vice President, Senior Quantum Portfolio Manager of Prudential Securities. He managed discretionary equity accounts for corporations, foundations, and high-net-worth individuals. He was elected to serve as a member of the investment committee responsible for an $850 million in-house managed account program. In addition, he provided investment management consulting services.

Craig's earlier experience was at Smith Barney where he was a Vice President specializing in investment management consulting, at Bateman Eichler Hill Richards where he was an Associate Vice President handling corporate and individual accounts, and at First Affiliated Securities where he was an Account Executive.

I work with the following types of clients:

Businesses, Investment Clubs, Individual Investors, Non-Profit Organizations

Education

Academic Background

He completed the Investment Management Analyst program at The Wharton School at the University of Pennsylvania. He is also a CERTIFIED FINANCIAL PLANNER™ and holds a certificate in Financial Planning from Kaplan University. Craig graduated with a BA from the University of California - Irvine.

Services

Investment Types:

Stocks, Bonds, Annuities, Insurance, Commodities, Mutual Funds, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 65, Series 7, Series 24, Series 63, Series 66

Insurance and Annuity Licenses:

Disability, Variable Annuity, Long Term Care, Variable Life, Annuity, Life

Financial Organization Memberships:

Financial Planning Association (FPA)

Non-Financial Organization Memberships:

Craig is active in the community. He served as a Commissioner on the City of Fullerton Investment Advisory Committee from 1997 to 1999, advising the city on its investment policies and portfolio. He was the Vice President of the Porsche Owners Club from 1998-2000. Presently, Craig serves as Vice President of Financial Management of the Muckenthaler Cultural Center Foundation, as Secretary of the Board of Directors of the Boys and Girls Club of Fullerton, and is a member of Fullerton Main Rotary Club. Recently he was asked to be a founding member of the California Highway Patrol’s 11-99 Foundation Professional Advisory Council.

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

50,000

Compensation Methods:

Flat Fee, Based on Assets, Commissions, Hourly

Prepared By:

W. Craig Walker