Zachary Walters has been Chief Investment Officer and Principal of Walled Lake Planning & Wealth Management since December 2018, is not listed as a control person, but directly owns between 5% and 10% of the firm. Zachary Walters holds a Bachelor of Science in Business Management with a minor in Finance from Purdue University.
Walled Lake Planning & Wealth Management, LLC is a Highland Park, IL firm with $732M under management, 369 clients and 5 advisers in one office, as of its March 2026 filing.
Zach Walters is Chief Investment Officer and Principal of Walled Lake Planning & Wealth Management. He leads investment allocation discussions and oversees the firm’s investment portfolios, including the dividend stock portfolio and the GARP (Growth at a Reasonable Price) portfolio, alongside the investment committee. He joined the team in 2006 during his tenure at RBC Wealth Management.
Zachary Walters’ longest registration was 12 years at RBC Capital Markets, LLC (2006–2018). Before joining Walled Lake Planning & Wealth Management in 2019, Zachary Walters was registered through RBC Capital Markets, LLC and Ameriprise Financial Services, Inc.
- – present · 7 yearsHighland Park, IL · Adviser representative · Firm CRD 299595
- RBC Capital Markets, LLC– · 12 yearsWinnetka, IL · Adviser representative · Firm CRD 31194
- Ameriprise Financial Services, Inc.– · under a yearTinley Park, IL · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Zachary Walters is registered as an investment adviser representative in Illinois, since January 2019.
- IllinoisSince 19 January 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 7 August 2006 |
| Series 7 | General Securities Representative Examination | 27 July 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Zachary Harold Walters
- CRD
- 5157083
- Firm
- Walled Lake Planning & Wealth Management · CRD 299595
- Role
- Chief Investment Officer and Principal
- Office
- 600 ELM PLACE, Highland Park, IL 60035
- Registration
- Investment adviser registration
- In the industry since
- September 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- wlpwm.com
Where does Zachary Walters work?
Zachary Walters has been Chief Investment Officer and Principal of Walled Lake Planning & Wealth Management, LLC since December 2018.
Is Zachary Walters a financial advisor?
Yes. Zachary Walters has a current investment-adviser registration in Illinois, through Walled Lake Planning & Wealth Management since January 2019.
How many years of experience does Zachary Walters have?
Zachary Walters has 20 years in the financial industry, since September 2006, across 3 adviser firms.
What exams has Zachary Walters passed?
Zachary Walters has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2006. FINRA credited Zachary Walters with the SIE, which began in October 2018.
Where did Zachary Walters work before Walled Lake Planning & Wealth Management?
Before Walled Lake Planning & Wealth Management, Zachary Walters was registered through RBC Capital Markets, LLC, October 2006 to December 2018; Ameriprise Financial Services, Inc., August 2006 to September 2006.
Where is Zachary Walters based?
Zachary Walters’ registered office is in Highland Park, IL.
Is Zachary Walters registered with FINRA?
No. Zachary Walters has no current broker registration.
How can I verify Zachary Walters’ record?
Search CRD 5157083 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Zachary Walters’ full registration record.
- Gery SadzewiczChief Compliance Officer
Noel CooperManaging Director / Co-Founder
Howard KliegerManaging Director / Co-Founder