Robert E. Walsh

OXBOW ADVISORS

Houston, TX

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CRD#: 600171

Professional summary

Robert Elliott Walsh, who also goes by Robert E Walsh, is a registered financial advisor currently at OXBOW ADVISORS, LLC located in Houston, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1965. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 000, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert E 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Elliott 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®

None

Experience

Current

June 8, 2011 - Present

OXBOW ADVISORS, LLC

RIA

CRD#: 156393

Houston, TX

Past

May 14, 2002 - April 23, 2015

HERNDON PLANT OAKLEY, LTD.

RIA

CRD#: 44971

SUGAR LAND, TX

Past

July 28, 1982 - September 4, 1985

ROTAN MOSLE INC.

CRD#: 727

Past

February 4, 1980 - May 21, 1982

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

July 13, 1978 - January 31, 1980

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

December 24, 1974 - July 13, 1978

BECKER SECURITIES INCORPORATED

CRD#: 6796

Past

August 27, 1965 - November 25, 1975

A. G. BECKER & CO., INCORPORATED

CRD#: 3

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".

OXBOW ADVISORS, LLC

CRD#: 156393 / SEC#: 801-72387

RIA

Registered Investment Advisory firm - (6/6/2011 Approved)

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

Texas
(6/8/2011)

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: 3/29/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 000

Date: 8/25/1965

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 8/25/1965

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 9/15/1975

Registered Principal Examination

Current Firm

OXBOW ADVISORS, LLC

CRD#: 156393 / SEC#: 801-72387

RIA

Registered Investment Advisory firm - (6/6/2011 Approved)

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Contact information

Main Address

200 West 6th Street Suite 1920, Austin, TX 78701

Mailing Address

Phone number

(512) 386-1088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OXBOW ADVISORS, LLC FORM ADV PART 2A (7/16/2025)

Regulatory assets under management

Total Number of Accounts	1,625
AUM (Assets Under Management)	$ 2,097,433,511

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2024	Cover Page	Report
03/14/2024	Cover Page	Report
02/08/2023	Cover Page	Report

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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Robert E. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Elliott Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERNDON PLANT OAKLEY, LTD.

ROTAN MOSLE INC.

BLUNT ELLIS & LOEWI INCORPORATED

BECKER PARIBAS INCORPORATED

BECKER SECURITIES INCORPORATED

A. G. BECKER & CO., INCORPORATED

Primary Firm SEC Registration

OXBOW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/1993

Series 63

Date: 12/30/1980

Series 000

Date: 8/25/1965

Series 1

Date: 8/25/1965

Series 40

Date: 9/15/1975

Current Firm

OXBOW ADVISORS, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OXBOW ADVISORS, LLC

TRUST BUT VERIFY

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