Michael E. 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.
Michael Emmett Walsh was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 7 firms and has passed the Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2007 - January 15, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
April 26, 2007 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
February 3, 1989 - May 17, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
July 7, 1982 - February 27, 1990
PURCELL GRAHAM INCORPORATED
October 31, 1973 - July 20, 1982
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 16, 1973 - January 21, 1974
HAYDEN STONE INC.
August 31, 1969 - March 16, 1973
HAYDEN STONE 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 000
Date: 4/19/1973
General Securities Principal ExaminationSeries 1
Date: 4/19/1973
Registered Representative ExaminationCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
