Paul R. Walsh
Professional summary
Paul Robert Walsh is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Robert Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2018 - Present
COMMONWEALTH AUSTRALIA SECURITIES LLC
Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022August 28, 2017 - November 5, 2018
BETTERMENT SECURITIES
June 25, 2013 - August 17, 2017
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - August 17, 2017
TD PRIVATE CLIENT WEALTH LLC
October 1, 2012 - November 16, 2012
J.P. MORGAN SECURITIES LLC
December 17, 2004 - July 27, 2006
BANC ONE SECURITIES CORPORATION
December 17, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 30, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 30, 1999 - October 20, 2004
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| LAWRENCE, LARRY O | CEO | 4237420 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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