Brett J. Walrath
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.
Brett Jason Walrath, who also goes by Brett Walrath, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1991. Brett had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2006 - March 31, 2025
BOSTON ASSET MANAGEMENT, INC.
March 7, 1997 - September 26, 2005
LASALLE ST SECURITIES, L.L.C.
June 25, 1996 - March 17, 1997
THE ADVISORS GROUP, INC.
September 21, 1992 - June 25, 1996
SECURITIES AMERICA, INC.
May 17, 1991 - September 30, 1992
BRAUER & ASSOCIATES, INC.
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
BOSTON ASSET MANAGEMENT, INC.
CRD#: 112768 / SEC#: 801-123584
Contact information
Regulatory assets under management
| Total Number of Accounts | 466 |
| AUM (Assets Under Management) | $ 103,671,136 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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