JW
Joseph N. Walsh
SANTANDER US CAPITAL MARKETS LLC
New York, NY 10022
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CRD#: 2804671
JW
Professional summary
Joseph Norton Walsh III is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 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 Joseph Norton Walsh III'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
October 14, 2014 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022Office #2: 437 Madison Avenue 6th - 8th Floor, New York, NY 10022BD
CRD#: 150696
New York, NY
Past
March 3, 2009 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
BD
CRD#: 31141
GREENWICH, CT
Past
February 26, 1999 - March 27, 2008
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
GREENWICH, CT
Past
August 14, 1997 - February 17, 1999
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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(10/14/2014)
RR
Arkansas(10/14/2014)
RR
California(10/14/2014)
RR
Connecticut(10/14/2014)
RR
Delaware(10/14/2014)
RR
District of Columbia(10/14/2014)
RR
Florida(10/14/2014)
RR
Georgia(10/14/2014)
RR
Hawaii(10/14/2014)
RR
Idaho(10/14/2014)
RR
Illinois(10/14/2014)
RR
Indiana(10/14/2014)
RR
Iowa(10/14/2014)
RR
Kansas(10/14/2014)
RR
Kentucky(10/14/2014)
RR
Louisiana(10/14/2014)
RR
Maryland(10/14/2014)
RR
Massachusetts(10/14/2014)
RR
Michigan(10/14/2014)
RR
Minnesota(10/14/2014)
RR
Missouri(10/14/2014)
RR
Montana(10/14/2014)
RR
Nebraska(10/14/2014)
RR
Nevada(10/14/2014)
RR
New Hampshire(10/14/2014)
RR
New Mexico(10/14/2014)
RR
New York(10/14/2014)
RR
North Carolina(10/14/2014)
RR
Oklahoma(10/14/2014)
RR
Oregon(10/14/2014)
RR
Pennsylvania(10/14/2014)
RR
Puerto Rico(10/14/2014)
RR
Rhode Island(10/14/2014)
RR
Texas(10/14/2014)
RR
Utah(10/14/2014)
RR
Vermont(10/14/2014)
RR
Virginia(10/14/2014)
RR
Washington(10/14/2014)
RR
Wisconsin(10/14/2014)
RR
Wyoming(10/14/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC
CRD#: 150696 / SEC#: , 8-68282
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
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.
