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Richard Walsh

Raymond James & Associates, INC.
56 Years of Experience
Colorado Springs, CO
4 DisclosuresBroker
View SEC Summary
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Richard Walsh is a registered investment advisor at Raymond James & Associates, INC., based in Colorado Springs, CO, with 56 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

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

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

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

Location

102 North Cascade Avenue, Suite 600, Colorado Springs, CO, 80903

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History

Regulatory History (4)
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.
Regulatory
December 2005
Final
Customer Dispute
May 2003
Settled
Employment Separation After Allegations
March 2003
Customer Dispute
September 2002
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
October 2018 - Present · 8 yrs
Raymond James & Associates, INC.
October 2018 - Present · 8 yrs
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 Registrations12 states
AZCACOFLGAKSMIMTPASCTXWY
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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