Richard C. 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.
Richard Conrad Walsh, who also goes by Richard C Walsh, Rick Na Walsh, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2021 - August 9, 2023
LPL FINANCIAL LLC
May 28, 2021 - March 25, 2025
LPL FINANCIAL LLC
March 18, 2015 - June 4, 2020
PAYCHEX SECURITIES CORPORATION
October 11, 2013 - December 24, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 8, 2013 - January 8, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 9, 2009 - September 13, 2013
ADP BROKER-DEALER, INC.
September 29, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2005 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1996 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 1995 - February 29, 1996
M&T SECURITIES, INC.
September 26, 1994 - July 2, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 21, 1993 - May 16, 1994
CHASE INVESTMENT SERVICES CORP.
April 6, 1988 - December 31, 1991
GOLDK INVESTMENT SERVICES, INC
February 26, 1986 - February 23, 1988
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
