JW
John P. Walsh
WORLD EQUITY GROUP
Morristown, NJ
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CRD#: 2186694
JW
Professional summary
John Patrick Walsh JR is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Morristown, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Insurance through THE WEALTH ADVISORY GROUP (dba), Investment Related, Started 3-1-16, Approx 15 hrs/mo, all during trading hours, 33 Washington St., Morristown, NJ 07960, Nature: Fixed and Long Term Care Insurance Sales, Managing Partner/Agent, Sell insurance to clients if needed, ancillary to brokerage business. 2) THE WEALTH ADVISORY GROUP, LLC (dba), Investment Related, Started 3-1-16, Approx 40+ hrs/mo, all during trading hours, 33 Washington St., Morristown, NJ 07960, Nature: Brokerage and Advisory Services through WEG, Managing Partner. 3) MORRISTOWN PARTNERSHIP - Started 4-1-18, BOARD SECRETARY. 14 MAPLE AVE., STE. 201, MORRISTOWN, NJ 07960, NATURE: SPECIAL INCENTIVE DISTRICT BOARD MEMBER, WORK WITH TOWN OFFICIALS TO PROMOTE LOCAL BUSINESS AND ATTRACTIONS/OVERSIGHT. NOT INVESTMENT RELATED, NO COMPENSATION. 1 HR/MONTH, NONE DURING TRADING HOURS. 4) Morristown Field Club, Not Investment Related, Started 7-9-20, Approx 2 hers/mo, none during trading hours, 168 James St., Morristown, NJ 07960, MFC is a tennis, paddle and pickle ball club, Position: Board Member/Director Men's Tennis, Duties: Run the men's tennis teams and club tournaments. Member of board. 5) Synergi Partners; Not Investment Related; Address: 151 W Evans St, Florence SC 29501; Nature of Business: Synergi Partners, Inc. a privately-owned incentive and tax credit consulting and processing company in the United States.; Position: Referral Agent; Start Date: 05.27.22; Approx. No of Hrs./month devoted to OBA: 5 Hrs.; No of Hrs. devoted to OBA during securities trading hours: 1; Duties to the OBA: Provide referrals to Synergi Partners through Dan Beirals. They will determine if the company qualifies for the Cares Act Employee Retention Credit. Supply Synergi with referrals and would receive a referral fee. 6) Cornerstone Family Programs; Not Investment Related; 80 Washington St, Morristown, NJ 07960; Nature of OBA: Board Member. Programs provide families in need with schooling, aftercare and support; Posn/title: Board Member; Started 01/02/23; Approx. No of Hrs/Month: 5 Hrs; Hrs during Trading Hrs: ZERO; Duties: Support for Administrative team and supervision.
CRS (Client Relationship Summary) - RIA
Click below to view John Patrick Walsh JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Walsh JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 29, 2016 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Morristown, NJ
Current
February 29, 2016 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Morristown, NJ
Past
August 28, 2012 - February 29, 2016
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
CRD#: 14169
FLORHAM PARK, NJ
Past
April 17, 2009 - February 29, 2016
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
FLORHAM PARK, NJ
Past
March 19, 2004 - April 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FLORHAM PARK, NJ
Past
January 4, 2002 - April 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FLORHAM PARK, NJ
Past
September 8, 2000 - January 4, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 23, 1996 - September 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 14, 1994 - July 29, 1996
CHEMICAL INVESTMENT SERVICES CORP.
BD
CRD#: 36312
Past
April 24, 1993 - October 18, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 27, 1992 - February 9, 1993
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
August 5, 1992 - August 19, 1992
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/29/2016)
IAR
California(2/29/2016)
RR
Florida(2/29/2016)
IAR
Florida(3/3/2016)
RR
Kentucky(1/6/2020)
RR
New Hampshire(6/1/2021)
IAR
New Hampshire(6/2/2021)
RR
New Jersey(2/29/2016)
IAR
New Jersey(3/1/2016)
RR
New York(2/29/2016)
RR
North Carolina(2/29/2016)
IAR
North Carolina(3/2/2016)
RR
Pennsylvania(2/29/2016)
IAR
Pennsylvania(3/1/2016)
RR
Vermont(2/29/2016)
IAR
Vermont(3/23/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
