John G. 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 Gerard Walsh, who also goes by John G Walsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 12 firms and has passed the Series 63 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
January 3, 2011 - March 22, 2012
KNIGHT CAPITAL AMERICAS, L.P.
October 20, 2009 - January 3, 2011
KNIGHT LIBERTAS LLC
April 27, 2009 - October 27, 2009
BTIG, LLC
May 17, 2000 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
October 1, 1999 - May 1, 2000
ROBERTSON STEPHENS, INC.
August 3, 1998 - October 13, 1999
APEX CLEARING CORPORATION
May 24, 1995 - June 4, 1998
CITICORP SECURITIES, INC.
March 14, 1994 - May 16, 1995
UBS SECURITIES LLC
April 23, 1991 - March 1, 1994
NATIVE NATIONS SECURITIES, INC.
March 16, 1989 - April 29, 1991
MORGAN STANLEY DW INC.
July 21, 1988 - February 21, 1989
TUCKER ANTHONY INCORPORATED
January 1, 1988 - April 29, 1991
MORGAN STANLEY DW INC.
February 26, 1987 - May 20, 1989
FIRST INVESTORS MANAGEMENT COMPANY, INC.
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
KNIGHT CAPITAL AMERICAS, L.P.
CRD#: 38599 / SEC#: , 8-48311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KNIGHT CAPITAL HOLDINGS LLC | LIMITED PARTNER | |
| CORRAO, MICHAEL TIMOTHY | CO-CCO | 1841775 |
| DONOHUE, KEVIN M | CO-CCO | 2767061 |
| DUNHAM, TIMOTHY PHILIP | FINANCIAL OPERATIONS PRINCIPAL | 1016294 |
| KNIGHT SECURITIES GENERAL LLC | LLC- GENERAL PARTNER | |
| LYONS, ROBERT KEANE | SENIOR MANAGING DIRECTOR | 1760001 |
| MAZZELLA, JOSEPH CARMINE JR | CEO | 1969966 |
| SADOFF, STEVEN JAY | EXECUTIVE VICE PRESIDENT | 4350038 |
| SOHOS, GEORGE | SENIOR MANAGING DIRECTOR | 4198973 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 2 |
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.
