Timothy P. Walsh
Professional summary
Timothy Patrick Walsh is a registered financial professional currently at ALTERNA SECURITIES, INC. located in Houston, Texas.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2003. Timothy has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Patrick Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2024 - Present
ALTERNA SECURITIES, INC.
Office #1: 2800 Post Oak Blvd Suite 6300, Houston, TX 77056December 1, 2021 - April 11, 2023
EFG CAPITAL INTERNATIONAL
February 15, 2007 - November 16, 2021
PERSHING LLC
January 27, 2005 - June 27, 2007
COWEN EXECUTION SERVICES LLC
August 29, 2003 - June 21, 2004
BROWN BROTHERS HARRIMAN & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ALTERNA SECURITIES, INC.
CRD#: 41139 / SEC#: , 8-49311
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
