James P. 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.
James Peter Walsh was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 7 firms and has passed the Series 63, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1993 - July 26, 1996
WALSH MANNING SECURITIES, LLC
October 9, 1991 - February 11, 1993
PRENTICE SECURITIES, INCORPORATED
October 3, 1988 - October 22, 1991
DOMINICK & DICKERMAN LLC
September 24, 1984 - October 3, 1988
DOMIK CORP.
July 27, 1979 - September 26, 1984
JANNEY MONTGOMERY SCOTT LLC
September 18, 1972 - May 30, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
April 12, 1972 - November 1, 1973
RITTMASTER, LAWRENCE AND CO., 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
Exams
Series 1
Date: 7/21/1979
Registered Representative ExaminationSeries 8
Date: 1/22/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WALSH MANNING SECURITIES, LLC
CRD#: 30826 / SEC#: , 8-45141
Contact information
Documents
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.
