Stephen Walsh
Professional Summary
Stephen Walsh was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1970 - 2011. Stephen had worked at 7 firms and has passed the Series 3, PC, Series 1, Series 40 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
WG TRADING COMPANY LIMITED PARTNERSHIP
Contact Information
Established
Delaware since 08/24/1990Firm Type
PartnershipFiscal Year End
DecemberDocuments
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
1Civil Event
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Aug 1980Series 1 — Registered Representative Examination
Passed Feb 1967Series 40 — Registered Principal Examination
Passed Oct 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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