James Michael Walsh
Professional Summary
James Michael Walsh, who also goes by James M Walsh, James M. Walsh, Michael Walsh, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James M Walsh, James M. Walsh, Michael Walsh
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
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.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
Years of Experience
22 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
Current Firm
ASSETPOINT FINANCIAL, LLC
Contact Information
Main Address
1300 North 17th Street Suite 1800, Arlington, VA 22209-3810Mailing Address
1300 North 17th Street Suite 1800, Arlington, VA 22209-3810Phone Number
(703) 292-3400Established
Delaware since 07/16/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
State Registrations and Notice Filings
(7/22/2016)
(7/22/2016)
(7/22/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view James Michael Walsh's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
MORGAN STANLEY
