Brian Walsh (CRD# 5280049) is an Investment Advisor Representative working at Sofi Wealth LLC in San Francisco, CA and has over 16 years of experience in the finance industry. Brian Walsh has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2626420
Alpha Blue Capital
CRD# 6424586
Global Retirement Partners LLC
CRD# 4105009
Lowery Thomas, LLC
Company Name | Location | Dates | Years |
---|---|---|---|
Sofi Securities LLC | Claymont, DE | Jun 2019 - Current | 4 |
Social Finance Inc. | San Francisco, CA | Jul 2018 - Current | 5 |
Tiaa | Charlotte, NC | Jan 2015 - Jun 2018 | 3 |
Tiaa-cref Individual & Institutional Services, LLC | Charlotte, NC | Jan 2015 - Jun 2018 | 3 |
Unemployment | Milwaukee, WI | Dec 2014 - Dec 2014 | < 1 |
Advicent Solutions LLP | Milwaukee, WI | Mar 2013 - Nov 2014 | 1 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Oct 2007 |
S66 | NASAA Uniform Combined State Law Examination | Sep 2011 |
- DE
- MI
- TX
-
Total Assets Under Management944MILLIONS
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Total Number of Accounts165,546ACCOUNTS
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Average Account Value$5,699
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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