Alexander Dewitt Walsh

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2018-07-11

CT RA
APPROVED

Since 2018-07-11

Branch Locations

55 Nod Rd, Avon, CT 06001 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Hartford	CT	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Hartford	CT	11/2016	07/2018
Wells Fargo Advisors Financial Network, Llc	Avon	CT	07/2018	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Hartford, CT
11/2016 → 07/2018

Wells Fargo Clearing Services, Llc

Hartford, CT
07/2018 → Present

Wells Fargo Advisors Financial Network, Llc

Avon, CT

Previous Registrations

2005-07-08 → 2018-07-11

Wells Fargo Clearing Services, Llc

Hartford, CT

Hartford, CT

West Hartford, CT
1999-06-02 → 2005-07-25

Advest, Inc.

Hartford, CT

Other Businesses

ALEXANDER WALSH: 19TH AND 20TH PAINTINGS; NON INV RELATED; OCCASIONALLY BUY & SELL 19TH AND EARLY 20TH ARTWORK; OWNER; START 1/1980; OCCASIONALLY ON WEEKENDS, 0 DURING TRADING. TOWERMARK WEALTH MANAGEMENT LLC, INV RELATED, WEST HARTFORD, CT, 16.66% OWNERSHIP, START 2/13/2018, 160 HOURS PER MONTH, 6.5 HOURS DURING TRADING, FINET PRACTICE. KETTLE COVE LIMITED, INV RELATED, AVON, CT, 100% OWNERSHIP, START 4/17/2018, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-05-17
S63	Uniform Securities Agent State Law Examination	1995-01-30

S65 Uniform Investment Adviser Law Examination

1999-05-17
S63 Uniform Securities Agent State Law Examination

1995-01-30

View on SEC IAPD