Michael W. 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.
Michael William Walsh, who also goes by Michael William Walsh, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2018 - March 1, 2019
GAR WOOD SECURITIES, LLC
April 1, 2015 - July 13, 2017
E*TRADE SECURITIES LLC
April 9, 2009 - March 9, 2015
E*TRADE FUTURES LLC
April 9, 2008 - April 9, 2009
INTERACTIVE BROKERS LLC
July 16, 2007 - August 27, 2007
MESIROW FINANCIAL, INC.
September 2, 2005 - May 2, 2007
OPTIONSXPRESS, INC.
October 9, 1997 - November 12, 2002
TD PROFESSIONAL EXECUTION, 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
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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