John E. 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.
John Edward Walsh, who also goes by Jack Walsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1998 - September 11, 2012
OAK RIDGE INVESTMENTS, LLC
September 22, 1986 - April 20, 1990
PRESCOTT, BALL & TURBEN, INC.
January 19, 1983 - September 29, 1986
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
OAK RIDGE INVESTMENTS, LLC
CRD#: 107066 / SEC#: 801-35529
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
OAK RIDGE INVESTMENTS, LLC
CRD#: 107066 / SEC#: 801-35529
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,876 |
| AUM (Assets Under Management) | $ 1,305,778,842 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
