RW
RW
Richard Walsh
55 Years of Experience
Colorado Springs, CO
4 DisclosuresBroker
Richard Walsh is a registered investment advisor at Raymond James & Associates, INC., based in Colorado Springs, CO, with 55 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
102 North Cascade Avenue, Suite 600, Colorado Springs, CO, 80903
Get directionsHistory
Regulatory History (4)
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Regulatory
December 2005Final
Customer Dispute
May 2003Settled
Employment Separation After Allegations
March 2003Customer Dispute
September 2002Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
October 2018 - Present · 7 yrs 9 mos
Raymond James & Associates, INC.
October 2018 - Present · 7 yrs 9 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
November 2011 - November 2018 · 7 yrs
Stifel, Nicolaus & Company, Incorporated
November 2011 - November 2018 · 7 yrs
Sanders Morris Harris INC.
December 2006 - November 2011 · 4 yrs 11 mos
Sanders Morris Harris INC.Broker
November 2006 - November 2011 · 5 yrs
Sanders Morris Harris INC.Broker
March 2005 - August 2006 · 1 yr 5 mos
Smh Capital Advisors, INC.
March 2005 - July 2006 · 1 yr 4 mos
Cascade Investment Group, INC.Broker
May 2003 - March 2005 · 1 yr 10 mos
Cascade Investment Group, INC.
May 2003 - March 2005 · 1 yr 10 mos
Citigroup Global Markets INC.
December 1997 - April 2003 · 5 yrs 4 mos
Citigroup Global Markets INC.Broker
July 1993 - April 2003 · 9 yrs 9 mos
E. F. Hutton & Company INCBroker
November 1988 - December 1988 · 1 mo
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
April 1970 - February 1988 · 17 yrs 10 mos
State Registrations11 states
AZCACOFLGAMIMTPASCTXWY
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.