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 III, who also goes by John Francis Walsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2000 - September 24, 2025
CRESAP, INC.
October 2, 1992 - May 24, 2000
RUTHERFORD, BROWN & CATHERWOOD, LLC
November 3, 1987 - October 6, 1992
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
May 27, 1982 - October 6, 1992
LEGG MASON WOOD WALKER, INCORPORATED
April 28, 1970 - June 17, 1982
ELKINS & CO.
April 28, 1970 - August 2, 1982
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CRESAP, INC.
CRD#: 25899 / SEC#: 801-79750, 8-42117
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/13/1970
Registered Representative ExaminationSeries 40
Date: 8/22/1977
Registered Principal ExaminationSeries 12
Date: 8/1/1977
NYSE Branch Manager ExaminationCurrent Firm
CRESAP, INC.
CRD#: 25899 / SEC#: 801-79750, 8-42117
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRESAP, MARK WINFIELD III | PRESIDENT/CHIEF COMPLIANCE OFFICER | 828898 |
Regulatory assets under management
| Total Number of Accounts | 595 |
| AUM (Assets Under Management) | $ 339,016,488 |
Disclosures
| Regulatory Event | 3 |
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.
