Stephen B. Walsh
Professional summary
Stephen Brendan Walsh, who also goes by Stephen B Walsh, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Darien, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Brendan Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2000 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: 320 Boston Post Road Suite 260, Darien, CT 06820June 5, 1998 - October 10, 2000
GUGGENHEIM SECURITIES, LLC
September 19, 1996 - July 8, 1998
FINANCIAL ASSET MANAGEMENT, INC.
October 18, 1994 - February 14, 1995
CITIGROUP GLOBAL MARKETS INC.
February 10, 1992 - September 19, 1994
PERSHING LLC
April 16, 1990 - February 8, 1991
UBS SECURITIES LLC
July 20, 1983 - March 14, 1990
DREXEL BURNHAM LAMBERT 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
(7/9/2018)
(10/12/2000)
(8/23/2018)
(10/12/2000)
(4/17/2023)
(10/12/2000)
(4/1/2013)
(12/21/2016)
(7/9/2018)
(7/23/2013)
(10/27/2009)
(3/29/2017)
(7/9/2018)
(9/12/2011)
(6/2/2015)
(10/12/2000)
(1/26/2009)
(10/12/2000)
(7/19/2017)
(3/25/2011)
(6/6/2011)
(10/31/2014)
(3/29/2017)
(7/9/2018)
(12/17/2013)
(4/21/2017)
(12/22/2016)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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