John M. 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 Michael Walsh, who also goes by Jack Walsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 4 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1998 - April 25, 2000
SANDLER, O'NEILL & PARTNERS, L.P.
February 4, 1987 - October 2, 1998
JOHN M. WALSH SECURITIES COMPANY, INC.
December 3, 1984 - February 18, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
October 27, 1971 - September 26, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
December 11, 1967 - November 13, 1971
R W PRESSPRICH AND CO
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: 12/8/1967
Registered Representative ExaminationSeries 40
Date: 3/11/1976
Registered Principal ExaminationCurrent Firm
SANDLER, O'NEILL & PARTNERS, L.P.
CRD#: 23328 / SEC#: , 8-40214
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
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.
