Robert E. Walsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Elliott Walsh, who also goes by Robert E Walsh, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1965. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 000, Series 1 and Series 40 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2011 - August 21, 2026
OXBOW ADVISORS, LLC
May 14, 2002 - April 23, 2015
HERNDON PLANT OAKLEY, LTD.
July 28, 1982 - September 4, 1985
ROTAN MOSLE INC.
February 4, 1980 - May 21, 1982
BLUNT ELLIS & LOEWI INCORPORATED
July 13, 1978 - January 31, 1980
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
August 27, 1965 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
Primary Firm SEC Registration
OXBOW ADVISORS, LLC
CRD#: 156393 / SEC#: 801-72387
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 000
Date: 8/25/1965
General Securities Principal ExaminationSeries 1
Date: 8/25/1965
Registered Representative ExaminationSeries 40
Date: 9/15/1975
Registered Principal ExaminationCurrent Firm
OXBOW ADVISORS, LLC
CRD#: 156393 / SEC#: 801-72387
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,782 |
| AUM (Assets Under Management) | $ 2,464,526,181 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 03/14/2024 |
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.
