Brian P. Walsh

B.P. WALSH AND CO.

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CRD#: 1160013

Professional summary

Brian Patrick Walsh is a registered financial advisor currently at B.P. WALSH AND CO., LLC .

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick Walsh's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 8, 2010 - Present

B.P. WALSH AND CO., LLC

RIA

CRD#: 125477

Past

November 5, 2002 - December 31, 2009

B.P. WALSH AND CO., LLC

RIA

CRD#: 125477

BRANFORD, CT

Past

September 22, 1989 - July 1, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 14, 1988 - October 21, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 22, 1984 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 18, 1983 - October 26, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(2/8/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/15/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/16/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

B.P. WALSH AND CO., LLC

B.P. WALSH AND CO., LLC | B.P. WALSH AND COMPANY, LLC

CRD#: 125477 / SEC#:

Connecticut

Registered Investment Advisory firm - (2/2/2010 Approved)

Texas

Registered Investment Advisory firm - (12/10/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

36 Park Place, Branford, CT 06405

Mailing Address

P.o. Box 1098, Branford, CT 06405

Phone number

(203) 208-0632

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 11,715,535

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brian P. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

B.P. WALSH AND CO., LLC

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2002

Series 63

Date: 6/1/1984

Series 7

Date: 5/19/1984

Series 6

Date: 7/15/1983

Series 8

Date: 11/16/1992

Current Firm

B.P. WALSH AND CO., LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

B.P. WALSH AND CO., LLC

TRUST BUT VERIFY

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