Joseph C. Walsh
Professional summary
Joseph Christopher Walsh JR, who also goes by Walsh (jr) Christopher Joseph Christopher Jr, (jr) Christopher Walsh Jr, J C Walsh, Jc Walsh Jr, Joseph Christopher Walsh Jr, Joseph Christopher Walsh, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Melville, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Christopher Walsh JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2025 - Present
NYLIFE SECURITIES LLC
Office #1: 520 Broad Hollow Rd., Melville, NY 11747October 8, 2010 - March 26, 2019
JEFFERIES LLC
May 17, 2004 - October 20, 2010
CITIGROUP GLOBAL MARKETS INC.
March 9, 2001 - October 31, 2003
CITIGROUP GLOBAL MARKETS INC.
August 23, 2000 - February 21, 2001
CITICORP INVESTMENT SERVICES
May 1, 2000 - August 21, 2000
ELECTRONIC TRADING GROUP, LLC
February 24, 2000 - May 5, 2000
ON-SITE TRADING, INC.
October 13, 1999 - February 24, 2000
CITICORP INVESTMENT SERVICES
February 27, 1999 - May 20, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 12, 1998 - September 2, 1998
NEPTUNE SECURITIES FINANCE CORPORATION
August 20, 1997 - October 20, 1998
CITICORP SECURITIES, INC.
December 24, 1996 - August 20, 1997
CITICORP INVESTMENT SERVICES
December 22, 1995 - April 22, 1996
MORGAN STANLEY DW INC.
January 9, 1995 - January 24, 1997
TP ICAP GLOBAL MARKETS AMERICAS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2025)
Exams
Series 7TO
Date: 2/16/2025
General Securities Representative ExaminationSeries 55
Date: 2/29/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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