James F. 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.
James Francis Walsh, who also goes by Jim Walsh, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2011 - December 21, 2022
NEWBRIDGE SECURITIES CORPORATION
August 20, 2008 - December 16, 2011
FIRST MIDWEST SECURITIES, INC.
January 4, 2006 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
May 26, 2004 - December 31, 2005
GUNNALLEN FINANCIAL, INC
September 29, 1998 - May 26, 2004
FIRST SECURITY INVESTMENTS, INC.
July 30, 1997 - January 8, 1998
CHATFIELD DEAN & CO., INC.
September 29, 1994 - June 12, 1997
JOSEPH DILLON & COMPANY INC.
June 17, 1992 - October 17, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 23, 1990 - June 17, 1992
ROBERT TODD FINANCIAL CORP.
September 5, 1990 - December 3, 1990
MALONE & ASSOCIATES, INC.
April 27, 1990 - September 11, 1990
MLB INVESTMENTS, LTD.
February 5, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
October 3, 1989 - February 15, 1990
BARRETT DAY SECURITIES, INC.
February 23, 1988 - March 10, 1989
INVESTORS CENTER, 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
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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.
