James T. Walsh
Professional summary
James Thomas Walsh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, James had worked at 5 firms, which includes MORGAN TAYLOR & ASSOCIATES INC., WEST AMERICA SECURITIES CORP, H.J. MEYERS & CO. INC., STERLING FOSTER & COMPANY INC., VISION INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1998 - October 5, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
July 14, 1997 - November 26, 1997
WEST AMERICA SECURITIES CORP
March 27, 1997 - July 9, 1997
H.J. MEYERS & CO., INC.
September 9, 1994 - March 4, 1997
STERLING FOSTER & COMPANY, INC.
August 31, 1994 - May 31, 1995
VISION INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MORGAN, TAYLOR & ASSOCIATES, INC.
CRD#: 37447 / SEC#: , 8-47751
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 8 |
Red Flags
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