Brendan M. 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.
Brendan Matthew Walsh, who also goes by Brendan Walsh, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2014. Brendan had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2015 - August 9, 2018
RCM WEALTH ADVISORS
June 8, 2015 - August 13, 2015
MCADAM LLC
November 18, 2014 - July 17, 2015
PURSHE KAPLAN STERLING INVESTMENTS
September 23, 2014 - October 3, 2014
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
RCM WEALTH ADVISORS
CRD#: 153641 / SEC#: 801-92177
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
Current Firm
RCM WEALTH ADVISORS
CRD#: 153641 / SEC#: 801-92177
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 941 |
| AUM (Assets Under Management) | $ 324,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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