CW
Colleen A. Walsh
FMSBONDS
North Miami Beach, FL 33180
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CRD#: 2477731
CW
Professional summary
Colleen Anne Walsh is a registered financial professional currently at FMSBONDS, INC. located in North Miami Beach, Florida.
Colleen is registered as a RR (Registered Representative) and started their career in finance in 2000. Colleen has worked at 2 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Colleen Anne Walsh'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
June 8, 2017 - Present
FMSBONDS, INC.
Office #1: 20660 West Dixie Hway, North Miami Beach, FL 33180Office #2: 4775 Technology Way, Boca Raton, FL 33431BD
CRD#: 7793
North Miami Beach, FL
Past
December 12, 2000 - June 14, 2017
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Arizona(7/13/2017)
RR
California(6/8/2017)
RR
Colorado(6/8/2017)
RR
Connecticut(6/8/2017)
RR
Delaware(6/13/2018)
RR
Florida(6/8/2017)
RR
Georgia(5/10/2018)
RR
Illinois(6/8/2017)
RR
Kentucky(6/9/2017)
RR
Maryland(6/14/2018)
RR
Massachusetts(6/15/2017)
RR
Minnesota(6/8/2017)
RR
Missouri(1/3/2018)
RR
New Hampshire(10/16/2017)
RR
New Jersey(6/8/2017)
RR
New York(6/8/2017)
RR
North Carolina(6/8/2017)
RR
Ohio(6/29/2018)
RR
Pennsylvania(6/22/2017)
RR
Texas(7/20/2020)
RR
Washington(6/8/2017)
RR
Wisconsin(6/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FMSBONDS, INC.
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS
CRD#: 7793 / SEC#: , 8-23280
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
4775 Technology Way, Boca Raton, FL 33431
Mailing Address
4775 Technology Way, Boca Raton, FL 33431
Phone number
(800) 741-1103
Established
Florida since 08/11/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
Company Information
FMSBONDS, INC.
CRD#: 7793North Miami Beach, FL 33180TRUST BUT VERIFY
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