Stephen Walsh
Professional summary
Stephen Walsh was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Stephen had worked at 7 firms, which includes WG TRADING COMPANY LIMITED PARTNERSHIP, WGW ASSOCIATES, WALSH GREENWOOD & CO., KIDDER PEABODY & CO. INCORPORATED, CLARK DODGE & CO. INCORPORATED, REICH & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1991 - August 4, 2011
WG TRADING COMPANY LIMITED PARTNERSHIP
August 7, 1981 - February 6, 1984
WGW ASSOCIATES
December 12, 1979 - December 31, 1992
WALSH, GREENWOOD & CO.
May 19, 1978 - July 18, 1979
KIDDER, PEABODY & CO. INCORPORATED
June 24, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
September 6, 1973 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
October 30, 1970 - August 31, 1971
REICH & 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
PC
Date: 8/29/1980
AMEX Put and Call ExamSeries 1
Date: 2/24/1967
Registered Representative ExaminationSeries 40
Date: 10/13/1977
Registered Principal ExaminationCurrent Firm
WG TRADING COMPANY LIMITED PARTNERSHIP
CRD#: 27308 / SEC#: , 8-43009
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPLOYEE RETIREMENT INCOME PLAN TRUST OF 3-M | LIMITED PARTNER IN APPLICANT | |
| STATE INVESTMENT BOARD NORTH DAKOTA | LIMITED PARTNER IN APPLICANT | |
| WGIA, LLC | LIMITED PARTNER IN APPLICANT | |
| SAN DIEGO COUNTY EMPLOYEE RETIREMENT | LIMITED PARTNER | |
| WG TRADING INVESTORS LIMITED PARTNERSHIP | LIMITED PARTNERSHIP IN APPLICANT | |
| BELLO, JOHN | CROP | 704376 |
| DUFFY, DEBORAH ANN | CCO | 1683496 |
| GREENWOOD, PAUL ROBERT | GENERAL PARTNER, CFO, COO | |
| WALSH, STEPHEN | GENERAL PARTNER, CEO, SROP | 458115 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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