RM
Ryan L. Mcwalter
HEALTHCARE COMMUNITY SECURITIES
Rensselaer, NY 12144
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CRD#: 5392198
RM
Professional summary
Ryan Lee Mcwalter is a registered financial advisor currently at HEALTHCARE COMMUNITY SECURITIES CORP. located in Rensselaer, New York.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ryan has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Lee Mcwalter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan Lee Mcwalter's 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®
NoneExperience
Current
December 24, 2020 - Present
HEALTHCARE COMMUNITY SECURITIES CORP.
Office #1: One Empire Drive, Rensselaer, NY 12144RIA
BD
CRD#: 36026
Rensselaer, NY
Current
October 6, 2020 - Present
HEALTHCARE COMMUNITY SECURITIES CORP.
Office #1: One Empire Drive, Rensselaer, NY 12144RIA
BD
CRD#: 36026
Rensselaer, NY
Past
June 30, 2014 - January 2, 2020
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
February 14, 2012 - June 17, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
BOSTON, MA
Past
April 18, 2011 - June 17, 2014
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
BOSTON, MA
Past
April 23, 2010 - April 11, 2011
PARKER POINT CAPITAL, LLC
BD
CRD#: 149529
SOUTHBOROUGH, MA
Past
November 27, 2007 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BOSTON, MA
Past
September 19, 2007 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HC
HEALTHCARE COMMUNITY SECURITIES CORP.
HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.
CRD#: 36026 / SEC#: 801-67370, 8-46981
RIA
Registered Investment Advisory firm - SEC (1/5/2007 Approved)New York
Registered Investment Advisory firm - SEC (3/25/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
IAR
New Jersey(12/24/2020)
RR
New York(10/6/2020)
IAR
New York(8/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HC
HEALTHCARE COMMUNITY SECURITIES CORP.
HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.
CRD#: 36026 / SEC#: 801-67370, 8-46981
RIA
Registered Investment Advisory firm - SEC (1/5/2007 Approved)New York
Registered Investment Advisory firm - SEC (3/25/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Empire Drive, Rensselaer, NY 12144
Mailing Address
One Empire Drive, Rensselaer, NY 12144
Phone number
(518) 431-7600
Established
New York since 07/21/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (4 States and Territories)
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROUP INSURANCE AGENCY | PARENT CORPORATION | |
| BORYSZAK, MARTIN W | BOARD OF DIRECTOR | 7879632 |
| BUCK, NOAH PATRICK | PRESIDENT | 7071368 |
| CUSACK, MICHELE L. | BOARD OF DIRECTOR | 8030752 |
| GELLER, MARK ELI | BOARD OF DIRECTOR | 7880534 |
| HAYES, MARY KATHERINE | CFO | 6496056 |
| LAROSE, JENNIFER | CHIEF COMPLIANCE OFFICER | 3094139 |
| MANZER, ANDREW RAYMOND | BOARD OF DIRECTOR | 6852044 |
| MCCOLLUM, CYNTHIA | BOARD OF DIRECTOR | 7564445 |
| RATNER, JOSHUA S | BOARD OF DIRECTOR | 7880541 |
| SCHILLER, JONATHAN DAVID | BOARD OF DIRECTOR | 7880562 |
| SMITH, JAMES | BOARD OF DIRECTOR | 8030764 |
| THOMAS, HUGH RICHARD | BOARD OF DIRECTOR | 6852059 |
| VERZI, DENNIS JAMES | BOARD OF DIRECTORS | 6468921 |
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 4,551,889,453 |
Disclosures
| Regulatory Event | 1 |
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.
