Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Allan Walsh is an investment professional with over 40 years of experience. Richard is registered with Raymond James & Associates, Inc. in Colorado and Texas and has been a financial professional since 1970. Richard's previous experience includes roles at Stiefel, Nicolaus & Company, Incorporated, Sanders Morris Harris Inc. and Cascade Investment Group, Inc. Richard provides portfolio management for individuals and businesses. Richard also offers financial planning services, educational seminars and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
11/01/2018 - Present
Raymond James & Associates, Inc. (COLORADO SPRINGS CO)
CO
11/10/2011 - 11/29/2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED (COLORADO SPRINGS CO)
CO
11/23/2006 - 11/10/2011
SANDERS MORRIS HARRIS INC. (COLORADO SPRINGS CO)
CO
03/30/2005 - 08/11/2006
SANDERS MORRIS HARRIS INC. (COLORADO SPRINGS CO)
CO
05/30/2003 - 03/11/2005
CASCADE INVESTMENT GROUP, INC. (COLORADO SPRINGS CO)
NY
07/31/1993 - 04/10/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/04/1988 - 12/20/1988
E. F. HUTTON & COMPANY INC
NA
04/23/1970 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 02/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/23/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/09/1988
Series 24 - General Securities Principal Examination
BC
Issued 12/21/1981
Series 4 - Registered Options Principal Examination
BC
Issued 05/20/1976
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 03/20/1995
Series 5 - Interest Rate Options Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 04/20/1970
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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