Paul Robert Walsh
Professional Summary
Paul Robert Walsh is a registered financial advisor currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York. Paul is registered as a RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC
Contact Information
Main Address
599 Lexington Avenue 30th Fl, New York, NY 10022Mailing Address
599 Lexington Avenue 30th Fl, New York, NY 10022Phone Number
(212) 848-9200Established
Delaware since 05/10/2005Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | — |
| BRAID, CHRISTOPHER ROYCE | CHIEF EXECUTIVE OFFICER | 7007793 |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Paul Robert Walsh's CRS (Customer Relationship Summary).
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