Kevin P. 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.
Kevin Patrick Walsh was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 5, Series 3 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
September 15, 2011 - March 10, 2025
JANNEY MONTGOMERY SCOTT LLC
September 24, 2010 - September 12, 2011
STONE & YOUNGBERG LLC
September 9, 2009 - September 20, 2010
JVB FINANCIAL GROUP, LLC
September 22, 2008 - June 10, 2009
PURSUIT PARTNERS LLC
July 13, 2005 - February 19, 2008
WAMU CAPITAL CORP.
May 15, 2000 - June 13, 2005
COUNTRYWIDE SECURITIES CORPORATION
September 5, 1996 - May 8, 2000
PERSHING LLC
January 10, 1995 - September 17, 1996
UBS FINANCIAL SERVICES INC.
October 11, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 14, 1990 - October 10, 1990
UBS SECURITIES LLC
July 25, 1987 - March 14, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
October 22, 1985 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 7/17/1997
Interest Rate Options ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
