Jeffrey Walsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Walsh, who also goes by Jeffrey J Walsh, Jeffrey John Walsh, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2021 - September 19, 2022
R.W.PRESSPRICH & CO.
July 15, 2019 - January 8, 2021
OPPENHEIMER & CO. INC.
April 17, 2017 - June 13, 2019
BTIG, LLC
May 5, 2015 - November 30, 2015
CANACCORD GENUITY LLC
February 5, 2008 - July 2, 2014
RBC CAPITAL MARKETS, LLC
January 24, 2008 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
June 6, 2006 - November 7, 2007
MORGAN STANLEY & CO. LLC
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
March 9, 1994 - May 20, 2006
CITIGROUP GLOBAL MARKETS INC.
April 11, 1989 - February 17, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 1982 - January 10, 1985
BECKER PARIBAS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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