Brian J. 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.
Brian J Walsh, who also goes by Brian Joseph Walsh, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1989. Brian had worked at 10 firms and has passed the Series 66, Series 63 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
June 27, 2012 - November 4, 2013
KESTRA INVESTMENT SERVICES, LLC
June 27, 2012 - November 4, 2013
KESTRA INVESTMENT SERVICES, LLC
May 13, 2011 - March 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2011 - March 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2010 - April 11, 2011
MORGAN STANLEY
May 26, 2010 - April 11, 2011
MORGAN STANLEY
January 2, 2008 - June 4, 2008
TD AMERITRADE, INC.
January 2, 2008 - June 4, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 11, 2007 - June 4, 2008
TD AMERITRADE, INC.
February 22, 2006 - October 5, 2007
E*TRADE SECURITIES LLC
February 18, 2005 - September 23, 2005
SCOTTRADE, INC.
October 8, 2004 - February 16, 2005
PNC WEALTH MANAGEMENT LLC
October 8, 2004 - February 16, 2005
PNC WEALTH MANAGEMENT LLC
June 20, 2002 - August 18, 2004
CHARLES SCHWAB & CO., INC.
March 25, 1996 - August 18, 2004
CHARLES SCHWAB & CO., INC.
December 22, 1993 - March 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 1989 - September 13, 1991
REVCON (USA) LIMITED
January 24, 1989 - June 9, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
