Neal R. Walsh
Professional summary
Neal Robert Walsh, who also goes by Neal Robert Walsh, Neal Walsh, Neil Walsh, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Neal is registered as a RR (Registered Representative) and started their career in finance in 2007. Neal has worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal Robert Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2021 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202April 21, 2026 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528April 20, 2020 - October 21, 2021
FIRST ALLIED SECURITIES, INC.
April 20, 2020 - October 21, 2021
CETERA FINANCIAL SPECIALISTS LLC
April 20, 2020 - October 21, 2021
CETERA ADVISORS LLC
April 29, 2019 - October 21, 2021
CETERA INVESTMENT SERVICES LLC
April 29, 2019 - October 21, 2021
CETERA WEALTH SERVICES, LLC
March 22, 2011 - October 18, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 3, 2007 - August 23, 2010
MOUNTAINVIEW SECURITIES, 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
(10/20/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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