John F. 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.
John Francis Walsh was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1962. John had worked at 5 firms and has passed the Series 55 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 1980 - April 23, 2001
FORBES, WALSH, KELLY & CO., INC.
November 27, 1978 - September 28, 1979
ITG EXECUTION SERVICES, INC.
November 17, 1976 - August 22, 1977
SHEARSON HAYDEN STONE INC.
November 7, 1975 - August 22, 1977
SHEARSON HAYDEN STONE INC.
October 11, 1962 - July 7, 1976
DOYLE, O'CONNOR & 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 55
Date: 4/14/2000
Limited Representative-Equity Trader ExamSeries 00
Date: 3/11/1974
General Securities Principal ExaminationCurrent Firm
FORBES, WALSH, KELLY & CO., INC.
CRD#: 7794 / SEC#: , 8-23111
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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