James M. Walsh

ASSETPOINT FINANCIAL

Arlington, VA 22209-3810

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CRD#: 4795601

Professional summary

James Michael Walsh, who also goes by James M Walsh, James M. Walsh, Michael Walsh, is a registered financial professional currently at ASSETPOINT FINANCIAL, LLC located in Arlington, Virginia.

James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James M Walsh | James M. Walsh | Michael Walsh

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Walsh's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 22, 2016 - Present

ASSETPOINT FINANCIAL, LLC

Office #1: 1300 North 17th Street Suite 1800, Arlington, VA 22209-3810

CRD#: 168796

Arlington, VA

Past

June 1, 2009 - August 20, 2014

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

June 1, 2009 - August 20, 2014

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

February 15, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

February 15, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

NEW YORK, NY

Past

July 2, 2004 - April 4, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Maryland
(7/22/2016)

New York
(7/22/2016)

Virginia
(7/22/2016)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/23/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/29/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/1/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ASSETPOINT FINANCIAL, LLC

CRD#: 168796 / SEC#: , 8-69332

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1300 North 17th Street Suite 1800, Arlington, VA 22209-3810

Mailing Address

1300 North 17th Street Suite 1800, Arlington, VA 22209-3810

Phone number

(703) 292-3400

Established

Delaware since 07/16/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INTRAFI LLC (F/K/A INTRAFI NETWORK LLC)	MEMBER
BERGIN, WILLIAM THOMAS	CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER & EXECUTIVE REPRESENTATIVE	3056261
KINNER, STEPHEN JOHN	CHIEF EXECUTIVE OFFICER	2542667
PARISE, JANICE DRU	FINOP, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2338583

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.

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Advisor Monitoring

Firm Stability Insights

James M. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2004

SIE

Date: 10/1/2018

Series 31

Date: 7/29/2004

Series 7

Date: 7/1/2004

FINRA

Current Firm

ASSETPOINT FINANCIAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETPOINT FINANCIAL, LLC

TRUST BUT VERIFY

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