Brandon J. Walsh

MAREX CAPITAL MARKETS

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 3121148

Professional summary

Brandon Joseph Walsh, who also goes by Brandon Walsh, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Chicago, Illinois.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 1998. Brandon has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brandon 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) - BD

Click below to view Brandon Joseph 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

September 27, 2023 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606

CRD#: 161014

Chicago, IL

Past

March 18, 2021 - October 3, 2022

MAREX CAPITAL MARKETS INC.

CRD#: 161014

Chicago, IL

Past

November 29, 2018 - May 16, 2019

GELBER SECURITIES, LLC

CRD#: 18367

CHICAGO, IL

Past

June 30, 2014 - October 29, 2018

BTIG, LLC

CRD#: 122225

CHICAGO, IL

Past

April 12, 2004 - February 25, 2014

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

January 18, 2001 - December 3, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

August 12, 1999 - October 26, 2001

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 23, 1998 - November 16, 1998

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

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

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

Illinois
(9/27/2023)

New York
(9/27/2023)

Exams

State Security Law Exam

Series 63

Date: 9/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/3/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/17/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

140 East 45th Street 10th Floor, New York, NY 10017

Mailing Address

140 East 45th Street 10th Floor, New York, NY 10017

Phone number

(212) 618-2800

Established

New York since 01/10/1952

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MAREX SERVICES INC.	DIRECT OWNER
BATES, CHRISTOPHER	FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR	5648556
BERNICKY, JENNIFER KAISER	CHIEF OPERATING OFFICER, DIRECTOR	4781625
CHERRY, ELIN LYNNE	CHIEF COMPLIANCE OFFICER	2430837
FALCO, CARMINE DOMENICO	PRINCIPAL OPERATIONS OFFICER	2782798
HOOD, STEPHEN MICHAEL	DIRECTOR	3139127
VITTAL, MAHESH RAM	PRES. & CEO, DIRECTOR	4593014

Disclosures

Regulatory Event

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brandon J. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon Joseph Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAREX CAPITAL MARKETS INC.

GELBER SECURITIES, LLC

BTIG, LLC

NEWEDGE USA, LLC

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/1998

SIE

Date: 10/1/2018

Series 3

Date: 10/3/2008

Series 7

Date: 8/12/1999

Series 6

Date: 9/17/1998

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAREX CAPITAL MARKETS INC.

TRUST BUT VERIFY

Similar Advisors