John Walsh
Professional summary
John Walsh, who also goes by John Michael Walsh, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2021 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416August 6, 2014 - March 17, 2021
RBC CAPITAL MARKETS, LLC
September 3, 2013 - August 7, 2014
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 1, 2006 - August 22, 2013
QUESTAR CAPITAL CORPORATION
November 13, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
March 3, 2006 - October 23, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 3, 2005 - March 2, 2006
TD AMERITRADE, INC.
September 30, 2005 - March 2, 2006
TD AMERITRADE, INC.
March 1, 2004 - September 23, 2005
WELLS FARGO INVESTMENTS, LLC
February 26, 2004 - September 23, 2005
WELLS FARGO INVESTMENTS, LLC
November 13, 2000 - February 18, 2004
STRONG CAPITAL MANAGEMENT INC
February 22, 2000 - February 18, 2004
STRONG INVESTMENTS, INC.
June 5, 1998 - March 9, 2000
U.S. BANCORP INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/2/2021)
(6/3/2021)
(6/4/2021)
(6/4/2021)
(4/29/2021)
(6/4/2021)
(12/26/2024)
(12/18/2024)
(12/18/2024)
(6/2/2021)
(6/3/2021)
(6/24/2021)
Exams
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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