Sean F. Walsh

PURKISS CAPITAL ADVISORS

SHARON, MA

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CRD#: 2194473

Professional summary

Sean Francis Walsh is a registered financial advisor currently at PURKISS CAPITAL ADVISORS, LLC located in Sharon, Massachusetts and SCARSDALE INVESTMENT GROUP, LTD. located in Sharon, Massachusetts.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Sean has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, 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.

Purkiss Capital Advisors, LLC, investment related, 62 Barry Avenue, Ridgefield, CT 06877, investment adviser, Fixed Income Specialist starting January 2022, 40 hours per month are devoted to this business for which Mr. Walsh's primary responsibility is monitoring bond portfolios.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Francis Walsh's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 23, 2022 - Present

PURKISS CAPITAL ADVISORS, LLC

RIA

CRD#: 124324

SHARON, MA

Current

July 13, 2023 - Present

SCARSDALE INVESTMENT GROUP, LTD.

RIA

CRD#: 121206

Sharon, MA

Past

December 9, 1999 - July 9, 2021

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

December 10, 1993 - July 9, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BOSTON, MA

Past

November 12, 1991 - October 22, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 12, 1991 - February 10, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

November 12, 1991 - February 10, 1994

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

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".

PURKISS CAPITAL ADVISORS, LLC

PURKISS CAPITAL ADVISORS, INC. | PURKISS CAPITAL ADVISORS, LLC

CRD#: 124324 / SEC#: 801-64777

RIA

Registered Investment Advisory firm - (10/11/2005 Approved)

Connecticut

Registered Investment Advisory firm - (10/17/2005 Terminated)

New York

Registered Investment Advisory firm - (10/17/2005 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/18/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(7/13/2023)

IAR

Connecticut
(4/23/2022)

IAR

Florida
(9/19/2023)

IAR

Massachusetts
(4/24/2022)

IAR

New Jersey
(8/1/2023)

IAR

New York
(7/13/2023)

IAR

Pennsylvania
(7/13/2023)

IAR

Texas
(4/23/2022)

IAR

Texas
(7/13/2023)

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

IAR

Series 65

Date: 4/22/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/27/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/29/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/27/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/27/2024

General Securities Sales Supervisor - Options Module Examination

Current Firm

PURKISS CAPITAL ADVISORS, LLC

PURKISS CAPITAL ADVISORS, INC. | PURKISS CAPITAL ADVISORS, LLC

CRD#: 124324 / SEC#: 801-64777

RIA

Registered Investment Advisory firm - (10/11/2005 Approved)

Connecticut

Registered Investment Advisory firm - (10/17/2005 Terminated)

New York

Registered Investment Advisory firm - (10/17/2005 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/18/2005 Terminated)

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Contact information

Main Address

Ridgefield, CT

Mailing Address

Phone number

(203) 431-5862

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

10 07 2025 PCA FORM ADV PART 2A AND 2B FINAL (10/7/2025)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 633,025,793

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

Sean F. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Francis Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCARSDALE INVESTMENT GROUP, LTD.

NATIONAL FINANCIAL SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

LEHMAN BROTHERS INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

Primary Firm SEC Registration

PURKISS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/2022

Series 63

Date: 1/7/1994

Series 7TO

Date: 6/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/29/1991

Series 10

Date: 6/27/2024

Series 9

Date: 6/27/2024

Current Firm

PURKISS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PURKISS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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