Individual Firm
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Brian Richard Walsh
CRD#: 2007751
IA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 1055 Franklin Avenue
Suite 200
Garden City, NY 11530
Suite 200
Garden City, NY 11530
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 1055 Franklin Avenue
Suite 200
Garden City, NY 11530
Suite 200
Garden City, NY 11530
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10/15/2008
Customer Dispute
Closed-No Action
12/22/2004
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 2/19/2020
B
New Jersey 2/19/2020
B
California 2/19/2020
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New Jersey 2/24/2020
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Colorado 3/18/2020
B
New York 2/19/2020
B
Connecticut 2/19/2020
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New York 6/14/2021
B
District of Columbia 2/19/2020
B
North Carolina 2/19/2020
B
Florida 2/19/2020
B
Ohio 2/19/2020
B
Georgia 5/18/2020
B
Oregon 5/4/2020
B
Illinois 2/19/2020
B
Pennsylvania 2/19/2020
B
Louisiana 1/5/2023
B
South Carolina 2/19/2020
B
Maine 2/19/2020
B
Tennessee 2/19/2020
B
Maryland 2/19/2020
B
Texas 2/19/2020
B
Massachusetts 2/19/2020
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Texas 2/19/2020
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Michigan 6/2/2020
B
Vermont 2/19/2020
B
Missouri 2/19/2020
B
Virginia 3/23/2020
B
Montana 11/15/2021
B
Washington 2/19/2020
B
New Hampshire 2/19/2020
SRO Registrations
B
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Registered with this firm since 2/19/2020
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Registered with this firm since 2/19/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/30/2009 - 02/24/2020 | GARDEN CITY, NY | |
B | 05/01/2009 - 02/24/2020 | GARDEN CITY, NY | |
B | 01/01/2008 - 05/04/2009 | GARDEN CITY, NY | |
B | 11/09/1992 - 01/03/2008 | GARDEN CITY, NY | |
B | 11/21/1989 - 11/13/1992 | SYOSSET, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.