Jonathan R. Walsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jonathan Richard Walsh was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2005. Jonathan had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - May 24, 2017
ALPS DISTRIBUTORS, INC.
March 12, 2012 - December 31, 2014
QUASAR DISTRIBUTORS, LLC
September 11, 2007 - October 14, 2010
COMMONWEALTH FINANCIAL NETWORK
June 15, 2006 - October 12, 2007
LPL FINANCIAL LLC
October 31, 2005 - October 12, 2007
LPL FINANCIAL LLC
July 21, 2005 - November 1, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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