James L. Walsh

TD SECURITIES (USA) LLC

Houston, TX 77010

Some features on this profile are disabled

CRD#: 4977687

Professional summary

James Luke Walsh, who also goes by James Luke Waslh, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Houston, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 7 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Luke Waslh

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 Luke 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

October 5, 2018 - Present

TD SECURITIES (USA) LLC

Office #1: 909 Fannin Street 11th Floor, Houston, TX 77010

CRD#: 18476

Houston, TX

Past

January 26, 2016 - May 10, 2018

UBS SECURITIES LLC

CRD#: 7654

HOUSTON, TX

Past

May 7, 2015 - January 26, 2016

SG AMERICAS SECURITIES, LLC

CRD#: 128351

HOUSTON, TX

Past

December 22, 2014 - December 22, 2014

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

HOUSTON, TX

Past

February 28, 2013 - April 17, 2015

D/B/A CLARKSONS PLATOU SECURITIES

CRD#: 113325

HOUSTON, TX

Past

July 16, 2010 - March 13, 2013

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

HOUSTON, TX

Past

August 9, 2005 - August 15, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, 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

New York
(10/5/2018)

Texas
(10/5/2018)

Exams

State Security Law Exam

Series 63

Date: 8/30/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/19/2010

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 8/8/2005

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.	PARENT
BROADBERY, MICHAEL	CHIEF COMPLIANCE OFFICER	6947899
GIBSON, GLENN	CHIEF EXECUTIVE OFFICER	5659024
JENKINS, CHRISTINE J	FINANCIAL & OPERATIONS PRINCIPAL	4911933
ORTIZ, JORGE LUIS	CHIEF FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468

Disclosures

Regulatory Event	20
Criminal	1

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.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James L. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

UBS SECURITIES LLC

SG AMERICAS SECURITIES, LLC

KEYBANC CAPITAL MARKETS INC.

D/B/A CLARKSONS PLATOU SECURITIES

DEUTSCHE BANK SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2005

SIE

Date: 5/10/2018

Series 79

Date: 8/19/2010

Series 7

Date: 8/8/2005

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

Similar Advisors