James R. Walsh

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CRD#: 3272698

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.

James Roman Walsh, who also goes by Jim Walsh, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Walsh

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 17, 2015 - November 6, 2015

BHA SELECT NETWORK, LLC

CRD#: 168883

Boston, MA

Past

July 16, 2014 - February 13, 2015

WRIGHT INVESTORS SERVICE INC

RIA

CRD#: 106302

MILFORD, CT

Past

July 14, 2014 - February 13, 2015

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

CRD#: 13645

MILFORD, CT

Past

September 9, 2013 - March 26, 2014

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

July 24, 2013 - March 27, 2014

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

HINGHAM, MA

Past

December 17, 2012 - June 26, 2013

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

October 7, 2011 - December 12, 2012

CALAMOS WEALTH MANAGEMENT LLC

RIA

CRD#: 143490

NAPERVILLE, IL

Past

August 22, 2011 - June 26, 2013

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

February 4, 2011 - August 5, 2011

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 4, 2009 - February 3, 2011

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NORWELL, MA

Past

January 9, 2009 - February 3, 2011

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NORWELL, MA

Past

February 21, 2006 - February 2, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HINGHAM, MA

Past

September 21, 1999 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/3/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/6/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1999

General Securities Representative Examination

Current Firm

BHA SELECT NETWORK, LLC

BHA SELECT NETWORK, LLC | BRIGHTON HOUSE ASSOCIATES

CRD#: 168883 / SEC#: , 8-69341

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1 Lincoln Street 29th Floor, Boston, MA 02111

Mailing Address

1 Lincoln Street 24th Floor, Boston, MA 02111

Phone number

(508) 786-0480

Established

Massachusetts since 08/14/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BRIGHTON HOUSE ASSOCIATES, LLC	MEMBER
GEORGE, KENNETH RONALD	FINOP	2643369
MCDERMOTT, DANIEL CONOR	MANAGER, CCO, EXECUTIVE REP., AML SUPERVISOR	4521850

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James R. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WRIGHT INVESTORS SERVICE INC

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

QUASAR DISTRIBUTORS, LLC

WBI INVESTMENTS, LLC

CALAMOS ADVISORS LLC

CALAMOS WEALTH MANAGEMENT LLC

CALAMOS FINANCIAL SERVICES LLC

GUARDIAN INVESTOR SERVICES LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2009

SIE

Date: 11/6/2015

Series 7

Date: 9/20/1999

Current Firm

BHA SELECT NETWORK, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BHA SELECT NETWORK, LLC

TRUST BUT VERIFY

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