Timothy Walls has been Chief Compliance Officer of Axient Investment Advisors since August 2025, is a control person of the firm and directly owns under 5% of it.
Axient Investment Advisors LLC is a Huntsville, AL firm with $454M under management, 768 clients and 12 advisers in one office, as of its March 2026 filing.
Timothy Walls’ longest registration was 4 years at Sa Stone Investment Advisors Inc. (2016–2021). Before joining Axient Investment Advisors in 2025, Timothy Walls was registered through Stonex Advisors Inc. and Concourse Financial Group Advisors.
- – present · under a yearPelham, AL · Adviser representative · Firm CRD 336722
- Stonex Advisors Inc.– · under a yearHuntsville, AL · Adviser representative · Firm CRD 174182
- Concourse Financial Group Advisors– · 3 yearsBirmingham, AL · Adviser representative · Firm CRD 15708
- Sa Stone Investment Advisors Inc.– · 4 yearsBirmingham, AL · Adviser representative · Firm CRD 174182
- Cetera Investment Advisers LLC– · 1 yearBirmingham, AL · Adviser representative · Firm CRD 105644
- Cetera Investment Services LLC– · under a yearBirmingham, AL · Adviser representative · Firm CRD 15340
- Investment Advisors– · under a yearBirmingham, AL · Adviser representative · Firm CRD 15708
- Morgan Keegan & Company, Inc.– · 4 yearsMountain Brook, AL · Adviser representative · Firm CRD 4161
- Securities America Advisors, Inc.– · under a yearDenver, CO · Adviser representative · Firm CRD 110518
- Morgan Keegan & Company, Inc.– · under a yearBirmingham, AL · Adviser representative · Firm CRD 4161
Investment adviser representative registrations
Timothy Walls is registered as an investment adviser representative in Alabama, since November 2025.
- AlabamaSince 21 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 28 January 2010 |
| Series 53 | Municipal Securities Principal Examination | 6 June 2005 |
| Series 24 | General Securities Principal Examination | 4 March 2004 |
| Series 66 | Uniform Combined State Law Examination | 14 December 2001 |
| Series 7 | General Securities Representative Examination | 7 December 2001 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Timothy Brian Walls
- CRD
- 4470781
- Firm
- Axient Investment Advisors · CRD 336722
- Role
- Chief Compliance Officer
- Office
- Pelham, AL
- Registration
- Investment adviser registration
- In the industry since
- May 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Timothy Walls work?
Timothy Walls has been Chief Compliance Officer of Axient Investment Advisors LLC since August 2025, and is a control person of the firm.
Is Timothy Walls a financial advisor?
Yes. Timothy Walls has a current investment-adviser registration in Alabama, through Axient Investment Advisors since November 2025.
How many years of experience does Timothy Walls have?
Timothy Walls has 23 years in the financial industry, since May 2003, across 7 adviser firms.
What exams has Timothy Walls passed?
Timothy Walls has passed 8 licensing exams: the Series 7, Series 66, Series 24, Series 53, Series 4, Series 79TO, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in December 2001. FINRA credited Timothy Walls with the SIE, which began in October 2018.
Where did Timothy Walls work before Axient Investment Advisors?
Before Axient Investment Advisors, Timothy Walls was registered through Stonex Advisors Inc., September 2025 to November 2025; Concourse Financial Group Advisors, March 2021 to February 2025; Sa Stone Investment Advisors Inc., September 2016 to February 2021; Cetera Investment Advisers LLC, January 2014 to November 2015; Cetera Investment Services LLC, January 2014 to January 2014; Investment Advisors, October 2012 to September 2013; Morgan Keegan & Company, Inc., October 2008 to October 2012; Securities America Advisors, Inc., April 2008 to September 2008; Morgan Keegan & Company, Inc., April 2007 to April 2008.
Where is Timothy Walls based?
Timothy Walls’ registered office is in Pelham, AL.
Is Timothy Walls registered with FINRA?
No. Timothy Walls has no current broker registration.
How can I verify Timothy Walls’ record?
Search CRD 4470781 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Timothy Walls’ full registration record.
