Alan 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.
Alan Joseph Walsh, who also goes by Alan J. Walsh, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1996. Alan had worked at 5 firms and has passed the Series 66, Series 63, SIE, 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
January 5, 2016 - November 10, 2023
KEVIN HART KORNFIELD & COMPANY, INC.
January 5, 2016 - November 10, 2023
KEVIN HART KORNFIELD & COMPANY, INC.
November 8, 2013 - November 26, 2014
EQUITABLE ADVISORS, LLC
November 8, 2013 - November 26, 2014
EQUITABLE ADVISORS, LLC
June 25, 2004 - October 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2004 - October 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2003 - February 20, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 1996 - February 20, 2004
IDS LIFE INSURANCE COMPANY
March 25, 1996 - February 20, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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
KEVIN HART KORNFIELD & COMPANY, INC.
CRD#: 20787 / SEC#: 801-66436, 8-38407
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KORNFIELD, KEVIN HART | PRESIDENT, CROP, SROP, CHIEF COMPLIANCE OFFICER | 707036 |
Regulatory assets under management
| Total Number of Accounts | 140 |
| AUM (Assets Under Management) | $ 53,686,431 |
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.
