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Brian Walsh

Raymond James Financial Services Advisors, INC
36 Years of Experience
Garden City, NY
2 DisclosuresBroker
View SEC Summary
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Brian Walsh is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Garden City, NY, with 36 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1055 Franklin Avenue, Suite 200, Garden City, NY, 11530

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2008
Closed-No Action
Customer Dispute
December 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian owns Ten55 WMG and TWL Wealth Advisory Group, both DBA/support companies for his financial services business. He dedicates minimal time to these activities.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
February 2020 - Present · 6 yrs 8 mos
Raymond James Financial Services, INC.Broker
February 2020 - Present · 6 yrs 8 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
October 2009 - February 2020 · 10 yrs 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
May 2009 - February 2020 · 10 yrs 9 mos
Wachovia Securities, LLCBroker
January 2008 - May 2009 · 1 yr 4 mos
A. G. Edwards & Sons, INC.Broker
November 1992 - January 2008 · 15 yrs 2 mos
David Lerner Associates, INC.Broker
November 1989 - November 1992 · 3 yrs
State Registrations29 states
AZCACOCTDCDEFLGAILLAMAMDMEMIMOMTNCNHNJNYOHORPASCTNTXVAVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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