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Carter T Walsh

Oppenheimer & Co. Inc.

Chicago, IL

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-06-18
  • IL RA
    APPROVED
    Since 2026-06-18

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Chicago IL 11/2024 04/2025
Clemson University Clemson SC 01/2023 05/2024
Sg Capital Management Chicago IL 05/2023 08/2023
Winnetka Park District Winnetka IL 05/2022 08/2022
Chicago Pool Management Chicago IL 05/2020 08/2021
New Trier Highschool Winnetka IL 05/2019 08/2019
Clemson University Clemson SC 08/2021 05/2024
New Trier High School Winneta IL 08/2017 05/2021
Unemployed Winnetka IL 05/2024 11/2024
Skokie School Winnetka IL 08/2014 08/2019
Oppenheimer & Co. Inc. Chicago IL 04/2025 Present
  • 11/2024 → 04/2025
    Morgan Stanley
    Chicago, IL
  • 01/2023 → 05/2024
    Clemson University
    Clemson, SC
  • 05/2023 → 08/2023
    Sg Capital Management
    Chicago, IL
  • 05/2022 → 08/2022
    Winnetka Park District
    Winnetka, IL
  • 05/2020 → 08/2021
    Chicago Pool Management
    Chicago, IL
  • 05/2019 → 08/2019
    New Trier Highschool
    Winnetka, IL
  • 08/2021 → 05/2024
    Clemson University
    Clemson, SC
  • 08/2017 → 05/2021
    New Trier High School
    Winneta, IL
  • 05/2024 → 11/2024
    Unemployed
    Winnetka, IL
  • 08/2014 → 08/2019
    Skokie School
    Winnetka, IL
  • 04/2025 → Present
    Oppenheimer & Co. Inc.
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-17
S63 Uniform Securities Agent State Law Examination 2024-12-16
  • S65 Uniform Investment Adviser Law Examination
    2026-06-17
  • S63 Uniform Securities Agent State Law Examination
    2024-12-16

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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