Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Bertalin Walsh is a registered representative with Northwestern Mutual Investment Services, LLC. William Walsh has been in the financial industry for over 25 years and is experienced in offering investment advice. His registration history indicates that he has worked with a variety of firms throughout his career, including Morgan Stanley, Cantor Fitzgerald & Co., Jefferies & Company, Inc., Salomon Smith Barney Inc., Prudential Securities Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. William Walsh holds Series 3, 7, 55, and 63 licenses, as well as a Series 65 license, which allows him to provide investment advice to clients in Connecticut and other states. William Walsh's current employment with Northwestern Mutual Investment Services, LLC began in October of 2019. He is also registered with the state of Connecticut as an Investment Adviser Representative, which allows him to offer investment advice to clients in Connecticut.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
CT
11/06/2019 - Present
Northwestern Mutual Investment Services, LLC (FAIRFIELD CT)
CT
01/29/2018 - 02/04/2019
MORGAN STANLEY (FAIRFIELD CT)
CT
11/29/2007 - 07/14/2017
CANTOR FITZGERALD & CO. (DARIEN CT)
NY
07/08/2002 - 11/26/2007
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
05/04/2000 - 02/25/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
02/16/2000 - 04/25/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/06/1997 - 02/24/2000
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
02/07/1995 - 03/07/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/19/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/12/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/06/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/11/1994
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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