Mark L. Walsh

WALSH FINANCIAL CONSULTING

Oakland, CA

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CRD#: 5268900

Professional summary

Mark Lawrence Walsh, CFP®, who also goes by Mark L Walsh, is a registered financial advisor currently at WALSH FINANCIAL CONSULTING located in Oakland, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Mark has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark L 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.

MARK LAWRENCE WALSH OPERATES HIS OWN INSURANCE AND FINANCIAL SERVICES AGENCY (DBA WALSH INSURANCE AND FINANCIAL SERVICES AGENCY). MR. WALSH RECEIVES COMMISSIONS ON INSURANCE PRODUCTS SOLD: LIFE INSURANCE, ANNUITIES, AND LONG-TERM CARE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Lawrence 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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

June 26, 2014 - Present

WALSH FINANCIAL CONSULTING

RIA

CRD#: 168305

Oakland, CA

Past

April 14, 2014 - May 14, 2014

TUTTLE WEALTH MANAGEMENT, LLC

RIA

CRD#: 123767

RIVERSIDE, CT

Past

April 7, 2014 - April 11, 2014

SGL FINANCIAL, LLC

RIA

CRD#: 158023

BUFFALO GROVE, IL

Past

March 5, 2007 - April 29, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

February 13, 2007 - April 29, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

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
(6/26/2014)

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: 5/7/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/3/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/12/2007

General Securities Representative Examination

Current Firm

WALSH FINANCIAL CONSULTING

ACTIVE ASSETS CORPORATION | WALSH WEALTH MANAGEMENT | WALSH INSURANCE AND FINANCIAL SERVICES AGENCY | WALSH FINANCIAL, PC | WALSH FINANCIAL CONSULTING

CRD#: 168305 / SEC#: 801-120984

RIA

Registered Investment Advisory firm - (1/24/2024 Terminated)

California

Registered Investment Advisory firm - (6/26/2014 Approved)

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).

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Contact information

Main Address

Oakland, CA

Mailing Address

Phone number

(510) 457-8742

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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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Mark L. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Lawrence Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALSH FINANCIAL CONSULTING

TUTTLE WEALTH MANAGEMENT, LLC

SGL FINANCIAL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2013

Series 66

Date: 3/3/2007

Series 7

Date: 2/12/2007

Current Firm

WALSH FINANCIAL CONSULTING

Contact information

Documents

Red Flags

Company Information

WALSH FINANCIAL CONSULTING

TRUST BUT VERIFY

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