Misha Mahindroo

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

TAMPA, FL 33602

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CRD#: 7165644

Professional summary

Misha Mahindroo is a registered financial advisor currently at WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY located in Tampa, Florida.

Misha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Misha has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Misha Mahindroo'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

March 6, 2025 - Present

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

Office #1: 111 W. Oak Avenue Ste 450, Tampa, FL 33602

RIA

CRD#: 206518

TAMPA, FL

Past

January 19, 2022 - November 19, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

TAMPA, FL

Past

January 4, 2021 - December 13, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

August 10, 2020 - December 13, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

November 15, 2019 - January 8, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

LEWISVILLE, TX

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".

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

CRD#: 206518 / SEC#: 801-127246

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

Florida

Registered Investment Advisory firm - (7/17/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

Illinois

Registered Investment Advisory firm - (7/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(3/6/2025)

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 66

Date: 12/18/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/7/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/1/2020

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 11/15/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/1/2019

Securities Industry Essentials Examination

Current Firm

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

CRD#: 206518 / SEC#: 801-127246

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

Florida

Registered Investment Advisory firm - (7/17/2023 Terminated)

Georgia

Registered Investment Advisory firm - (8/3/2023 Terminated)

Illinois

Registered Investment Advisory firm - (7/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2023 Terminated)

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Contact information

Main Address

111 W. Oak Avenue Ste 450, Tampa, FL 33602

Mailing Address

Phone number

(866) 929-3258

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (8/5/2025)

Regulatory assets under management

Total Number of Accounts	582
AUM (Assets Under Management)	$ 220,278,095

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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Advisor Monitoring

Firm Stability Insights

Misha Mahindroo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Misha Mahindroo's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Primary Firm SEC Registration

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2020

Series 63

Date: 2/7/2020

Series 7TO

Date: 10/1/2020

Series 6TO

Date: 11/15/2019

SIE

Date: 11/1/2019

Current Firm

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALSER WEALTH MANAGEMENT COMPANY, A LIMITED LIABILITY COMPANY

TRUST BUT VERIFY

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