Kevin S. 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.
Kevin Stoldt Walsh, who also goes by Kevin S Walsh, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2008 - November 20, 2018
BENJAMIN & JEROLD BROKERAGE I, LLC
March 10, 2004 - November 5, 2008
ROBERT G. PEARS & CO., INC.
December 12, 2003 - March 15, 2004
FM BROKERAGE, L.L.C.
November 4, 1997 - December 2, 2003
ABN AMRO INCORPORATED
December 23, 1996 - May 20, 1997
JWGENESIS SECURITIES, INC.
March 5, 1996 - January 17, 1997
SANDS BROTHERS & CO., LTD.
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
Series 55
Date: 7/24/2009
Limited Representative-Equity Trader ExamCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
