James C. Walsh
Professional summary
James Christopher Walsh, who also goes by Christopher Walsh, James Christopher Walsh, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Christopher Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2025 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001July 23, 2015 - June 2, 2021
MORGAN STANLEY & CO. LLC
September 12, 2013 - June 24, 2015
DEUTSCHE BANK SECURITIES INC.
June 29, 2010 - August 15, 2013
OPPENHEIMER & CO. INC.
January 22, 2010 - July 1, 2010
AGC PARTNERS
July 2, 2007 - September 17, 2008
BOFA ADVISORS, LLC
May 30, 2007 - September 17, 2008
BOFA DISTRIBUTORS, INC.
April 28, 2005 - May 31, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
(8/28/2025)
(8/27/2025)
(8/28/2025)
(8/28/2025)
(8/28/2025)
(8/27/2025)
(9/2/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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