Erik B. Walsh
Professional summary
Erik Baxter Walsh was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erik is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Erik had worked at 5 firms, which includes DISCOVERY CAPITAL GROUP, TRADE.COM ONLINE SECURITIES INC., JANNEY MONTGOMERY SCOTT LLC, GRUNTAL & CO. L.L.C., ROYAL PALM INVESTMENTS LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2000 - November 8, 2002
DISCOVERY CAPITAL GROUP
April 29, 1999 - December 23, 1999
TRADE.COM ONLINE SECURITIES, INC.
February 12, 1999 - April 19, 1999
JANNEY MONTGOMERY SCOTT LLC
June 16, 1995 - February 26, 1999
GRUNTAL & CO., L.L.C.
February 23, 1995 - June 13, 1995
ROYAL PALM INVESTMENTS, LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 4/29/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DISCOVERY CAPITAL GROUP
CRD#: 29355 / SEC#: , 8-44256
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
Red Flags
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