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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-09-22 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
5610 Ward Rd, Ste 300, Arvada, CO 80002 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2008-05-31 |
Branch Locations
5610 Ward Rd, Ste 300, Arvada, CO 80002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Lakewood | CO | 06/2003 | 09/2022 |
| Walsh Financial Solutions, Llc | Arvada | CO | 06/2008 | Present |
| Vanderbilt Securities | Woodbury | NY | 09/2022 | Present |
| Vanderbilt Advisory Securities | Woodbury | NY | 09/2022 | Present |
1) Fixed Insurance Sales. Not investment related. Start date: 2/17/2005. Address: 5610 Ward Rd, Ste 300, Arvada CO, 80002. & 9200 E. Mineral Ave, Centennial, CO 80112. Title: Insurance Broker or Agent. Duties: Provide fixed (non-variable) insurance recommendations and products to clients. Time spent during regular hours: 5%. 2) DBA - Walsh Financial Solutions. Investment related. Start date: 12/2/2004. Address: 5610 Ward Rd, Ste 300, Arvada CO, 80002. & 9200 E. Mineral Ave, Centennial, CO 80112. Title: President and Financial Planner. Duties: Provide financial, securities, and investment advice, recommendations, and products to clients. Time spent during regular hours: 55%. 3) Registered Investment Adviser - Walsh Financial Solutions. Investment related. Start date: 6/3/2008. Address: 5610 Ward Rd, Ste 300, Arvada CO, 80002. & 9200 E. Mineral Ave, Centennial, CO 80112. Title: President, Chief Compliance Officer, and Investment Adviser Representative. Duties: Provide modular and comprehensive financial advice and planning to clients. Time spent during regular hours: 40%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-01-10 |
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