Rena W. Walsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rena Williams Walsh, who also goes by Rena W Walsh, Rena Walsh, Rena Margaret Williams, was a registered financial professional .
Rena is a previously registered financial professional and started their career in finance in 1983. Rena had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2021 - December 31, 2024
VANGUARD ADVISERS, INC.
June 2, 2021 - July 31, 2025
VANGUARD MARKETING CORPORATION
February 28, 2002 - December 15, 2010
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
July 31, 1998 - February 28, 2002
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
December 3, 1983 - September 12, 1984
THE ADVISORS GROUP, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/2/2021
General Securities Representative ExaminationCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
