John 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.
John Philip Walsh JR, who also goes by John Walsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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 29, 2014 - June 30, 2017
SEAPORT GLOBAL SECURITIES LLC
October 7, 2011 - September 29, 2014
GLOBAL HUNTER SECURITIES, LLC
December 1, 2009 - October 3, 2011
MADISON WILLIAMS AND COMPANY
May 21, 2009 - December 16, 2009
SANDERS MORRIS LLC
June 7, 2005 - May 19, 2009
PRITCHARD CAPITAL PARTNERS, LLC
December 3, 2001 - June 17, 2005
UBS FINANCIAL SERVICES INC.
November 2, 2001 - June 17, 2005
UBS FINANCIAL SERVICES INC.
May 7, 1993 - November 16, 2001
CITIGROUP GLOBAL MARKETS INC.
May 4, 1989 - May 18, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1986 - May 26, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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