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JW

James J. Walsh

Some features on this profile are disabled
CRD#: 1123552
JW

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.

James Joseph Walsh, who also goes by Jim Walshy, Jimmy Walshy, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Walshy | Jimmy Walshy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 12, 1992 - March 21, 1995

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

August 23, 1990 - January 23, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 18, 1987 - August 9, 1990

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 16, 1985 - April 25, 1987

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

April 19, 1983 - January 2, 1985

BALFOUR INVESTORS INC.

BD
CRD#: 7382

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/15/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1983
General Securities Representative Examination

Current Firm

G&
GRUNTAL & CO., L.L.C.
GLOBAL ASSET MANAGEMENT | PROFESSIONAL ASSET MANAGEMENT | GRUNTAL MANAGED ACCOUNTS | GRUNTAL FOCUS ADVISORS | GRUNTAL & CO., L.L.C. | GRUNTAL & CO. INCORPORATED | GRUNTAL & CO.

CRD#: 372 / SEC#: , 8-31022

BD
Terminated by SEC on 07/21/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRUNTAL FINANCIAL, L.L.C.INTEREST HOLDER
BRADLEY, RALPH HAMILTON JRDIRECTOR, EXECUTIVE VICE PRESIDENT2802958
COHEN, DONALD NEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY
JOHNSON, ROSEMARYDIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER1515631
RITTEREISER, ROBERT PETERDIRECTOR, CHAIRMAN, CEO400305

Disclosures

Regulatory Event34
Arbitration81
Bond2

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.

Company Information

GRUNTAL & CO., L.L.C.

CRD#: 372

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