Richard J. Walsh
Professional summary
Richard James Walsh, who also goes by Richrd James Walsh, is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard James Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2006 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/4/2021)
(9/7/2006)
Exams
FINRA
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
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.
