MW
Michael E. Walsh
WILLIAM BLAIR
BEVERLY HILLS, CA
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CRD#: 2181084
MW
Professional summary
Michael Elliott Walsh is a registered financial advisor currently at WILLIAM BLAIR located in Beverly Hills, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CHILDREN'S HEALTHCARE OF ATLANTA FOUNDATION
1687 TULLIE CIRCLE NE.ATLANTA, GA 30329
404-785-5645.THE CHOA FOUNDATION SUPPORTS CHILDREN'S HEALTHCARE OF ATLANTA, A PEDIATRIC HOSPITAL SYSTEM IN ATLANTA. IN AN OF ITSELF, NEITHER CHOA NOR THE FOUNDATION ARE INVESTMENT RELATED. I SERVE, HOWEVER, ON THE INVESTMENT COMMITTEE FOR THE ORGANIZATION'S ENDOWMENT. THE COMMITTEE PROVIDES SUPPORT TO THE STAFF AND FINANCE TEAM AT CHOA RELATED TO THE MANAGEMENT OF THE INVESTMENTS FOR THE ENDOWMENT. FOUNDATION TRUSTEE.JANUARY 2008.5
I*78082
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: FRONT ROW LLC
INVESTMENT RELATED: Y
ADDRESS OF BUSINESS:
BEVERLY HILLS, CALIFORNIA 90210
NATURE OF BUSINESS: LLC,
POSITION, TITLE, ASSOCIATION: OWNER,
START DATE OF RELATIONSHIP: 12/15/2014
NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: SINGLE MEMBER LLC FORMED FOR ASSET PROTECTION PURPOSES. THIS IS A FLOW THROUGH ENTITY THAT WILL BE USED FOR FIRM-APPROVED PRIVATE INVESTMENTS. CHECKING ACCOUNT ONLY, NO PUBLIC SECURITIES INVESTMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Elliott Walsh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Elliott Walsh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 21, 2020 - Present
WILLIAM BLAIR
Office #2: 1900 Avenue Of The Stars Suite 500, Los Angeles, CA 90067RIA
BD
CRD#: 1252
BEVERLY HILLS, CA
Current
February 21, 2020 - Present
WILLIAM BLAIR
Office #1: 1900 Avenue Of The Stars Suite 500, Los Angeles, CA 90067RIA
BD
CRD#: 1252
LOS ANGELES, CA
Past
March 7, 2014 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
March 7, 2014 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
October 1, 2008 - August 6, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOS ANGELES, CA
Past
July 7, 2005 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
ATLANTA, GA
Past
February 4, 2003 - July 12, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ALPHARETTA, GA
Past
June 30, 2000 - July 12, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 6, 1991 - July 7, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/4/2020)
RR
Arizona(2/5/2024)
RR
California(2/21/2020)
IAR
California(2/21/2020)
RR
Colorado(3/4/2020)
RR
Delaware(2/21/2020)
RR
District of Columbia(11/4/2025)
RR
Florida(3/10/2020)
RR
Georgia(2/21/2020)
RR
Hawaii(2/21/2020)
RR
Idaho(2/21/2020)
RR
Illinois(3/10/2020)
RR
Indiana(10/24/2024)
RR
Kentucky(2/21/2020)
RR
Maryland(2/19/2021)
RR
Massachusetts(2/21/2020)
RR
Nevada(2/21/2020)
RR
New Hampshire(8/25/2020)
RR
New York(2/21/2020)
RR
North Carolina(3/10/2020)
RR
Ohio(4/22/2024)
RR
Oregon(9/16/2021)
RR
Pennsylvania(2/21/2020)
RR
Puerto Rico(9/20/2024)
RR
South Carolina(12/12/2024)
RR
Tennessee(2/21/2020)
RR
Texas(2/21/2020)
RR
Utah(2/21/2020)
RR
Washington(10/4/2021)
RR
Wisconsin(5/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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.
