Andrew P. Walsh

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CRD#: 1863494

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.

Andrew Peale Walsh, who also goes by Andy Walsh, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1988. Andrew had worked at 10 firms and has passed the Series 63, Series 57TO, Series 82TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andy Walsh

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 1, 2021 - June 3, 2022

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

CRD#: 149326

NEW YORK, NY

Past

June 28, 2006 - June 23, 2021

JONESTRADING

CRD#: 6888

Stamford, CT

Past

June 29, 1998 - July 11, 2006

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

June 1, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

July 11, 1997 - June 1, 1998

JPMSI

CRD#: 15733

NEW YORK, NY

Past

May 21, 1996 - July 3, 1997

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

August 27, 1994 - June 5, 1996

REUTERS C CORPORATION

CRD#: 14408

NEW YORK, NY

Past

November 11, 1992 - June 22, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 7, 1989 - November 12, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 19, 1988 - November 11, 1989

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC

CRD#: 149326 / SEC#: 801-116875, 8-68138

RIA

Registered Investment Advisory firm - SEC (6/28/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 10/31/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/7/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/2004

General Securities Principal Examination

Current Firm

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC

CRD#: 149326 / SEC#: 801-116875, 8-68138

RIA

Registered Investment Advisory firm - SEC (6/28/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

52 Vanderbilt Avenue 19th Floor 19th Floor, New York, NY, 10017

Mailing Address

52 Vanderbilt Avenue 19th Floor, New York, NY, 10017

Phone number

(646) 292-7950

Established

New York since 12/06/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

STRATEGAS SECURITIES, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BAIRD FINANCIAL CORPORATION	SHAREHOLDER
ANTHONY, DANNELL WAYNE	FINOP, DIRECTOR OF FINANCE	7038021
BOHNSACK, NICHOLAS GREGORY	PRESIDENT / COO	4571796
BOOTH, STEVEN GREGORY	DIRECTOR	2147388
GABAY, EILEEN MARGARET	CHIEF OPERATING OFFICER	5602349
LANGENFELD, JON A	DIRECTOR	4322120
LOGUE, SOFIA	CHIEF COMPLIANCE OFFICER	6406784
RISSMILLER, DONALD JAMES	VICE CHAIRMAN / PRINCIPAL	5227351
TOTORO, MICHAEL A	CHIEF TECHNOLOGY OFFICER	1552053
TRENNERT, JASON RICHARD	CHAIRMAN / CEO	2079457

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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Firm Stability Insights

Andrew P. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JONESTRADING

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

JPMSI

NEEDHAM & COMPANY, LLC

REUTERS C CORPORATION

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

JOHNSTON, LEMON & CO. INCORPORATED

Primary Firm SEC Registration

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/1988

Series 57TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/7/2006

Series 7

Date: 10/15/1988

Series 24

Date: 12/14/2004

Current Firm

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

TRUST BUT VERIFY

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