Brian Walsh
THE ASCENT GROUP
Wayne, PA 19087
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CRD#: 6267410
Professional summary
Brian Walsh JR, CFP®, who also goes by Brian Patrick Walsh, Brian Walsh Jr., is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Wayne, Pennsylvania and OSAIC WEALTH, INC. located in Wayne, Pennsylvania.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Patrick Walsh | Brian Walsh Jr.
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.
1)The Ascent Group,LLC;investment related;5029 Corporate Woods Dr,Ste 200,Virginia Beach,VA 23462;llc;partner;3/12/2021;100 hrs/month;100 hrs during trading;RIA will operate as hybrid RIA 2)Fixed insurance-multiple carriers;investment related;119 W Wayne Ave,Wayne,PA 19087;licensed as an independent insurance agent for the purpose of selling fixed insurance products;broker;5/1/2017;160 hrs/month;160 hrs during trading;sell fixed insurance products 3)Vested Advisors;investment related;480 Pennbrook Pkwy,Lansdale,PA 19446;LLC;owner;8/1/2019;160 hrs/month;160 hrs during trading;financial plan services and investment advice services 4)Walsh & Nicholson Financial Group;investment related;119 W Wayne Ave,Wayne,PA 19098;investment and insurance business,sales-employee;sales-employee;5/1/2017;160 hrs/month;130 hrs during trading;provide financial plan services and investment advice services 5)Cruzen; Investment related: no; 512 Fishers Rd, Bryn Mawr, PA 19010; Nature or Structure of Business: LLC; Position: owner; Start date: 06/14/2024; hours per month: 30; securities trading hours 0; Duties: owner of an app for mobile services
CRS (Client Relationship Summary) - RIA
Click below to view Brian Walsh JR'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®
CFP®
Start date: 2021
Experience
Current
May 14, 2021 - Present
THE ASCENT GROUP, LLC
Office #1: 119 W Wayne Ave, Wayne, PA 19087RIA
CRD#: 314424
Wayne, PA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 119 West Wayne Avenue, Wayne, PA 19087Office #2: 480 Pennbrook Pkwy, Landsdale, PA 19446RIA
BD
CRD#: 23131
Wayne, PA
Past
February 1, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Wayne, PA
Past
June 9, 2017 - November 5, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
WAYNE, PA
Past
May 4, 2017 - January 27, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
WAYNE, PA
Past
November 20, 2013 - May 1, 2017
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
THOMASVILLE, NC
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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 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.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
RR
Arizona(8/23/2024)
RR
Arkansas(8/23/2024)
RR
California(8/23/2024)
RR
Delaware(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Illinois(8/23/2024)
RR
Louisiana(8/23/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New Mexico(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(8/23/2024)
IAR
Pennsylvania(5/14/2021)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
IAR
Texas(5/14/2021)
RR
Texas(8/23/2024)
RR
Virginia(8/23/2024)
RR
Wisconsin(8/23/2024)
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
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
