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Neal Robert Walsh

Transamerica Capital, Inc.

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About Neal Robert Walsh

Neal Robert Walsh is a financial advisor currently registered with Transamerica Capital, Inc. in Denver, Colorado. Neal has been in the securities industry since 2008. Neal holds Series 7, 24, 52TO, 53, and 63 securities licenses. Neal also has experience with CETERA ADVISORS LLC, CETERA FINANCIAL SPECIALISTS LLC, FIRST ALLIED SECURITIES, INC., CETERA ADVISOR NETWORKS LLC, CETERA INVESTMENT SERVICES LLC, JACKSON NATIONAL LIFE DISTRIBUTORS LLC, and CAPMARK SECURITIES INC.

Firm Information

Neal Walsh is currently registered with Transamerica Capital, Inc.. Transamerica Capital, Inc. is a Corporation formed on March 14, 1977 and approved in 53 states and the SEC. The firm is registered to provide investment advisory services.

Not reported

Assets Under Management

Not reported

Total Clients

140

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Neal Walsh’s Registration & Firm History

CO

10/20/2021 - Present

Transamerica Capital, Inc. (DENVER CO)

CO

04/20/2020 - 10/21/2021

CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)

IL

04/20/2020 - 10/21/2021

CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)

CA

04/20/2020 - 10/21/2021

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

04/29/2019 - 10/21/2021

CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)

MN

04/29/2019 - 10/21/2021

CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)

TN

03/22/2011 - 10/18/2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC (FRANKLIN TN)

CO

10/03/2007 - 08/23/2010

CAPMARK SECURITIES INC. (DENVER CO)

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Licenses & Designations

BC

Issued 06/27/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/10/2018

Series 53 - Municipal Securities Principal Examination

BC

Issued 07/11/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/02/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Neal Robert Walsh.
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