Michael P. 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.
Michael Patrick Walsh SR, who also goes by Michael Patric Walsh, Michael Patrick Walsh, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 6 firms and has passed the Series 63, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 1991 - October 25, 2010
L&M FINANCIAL SERVICES
October 6, 1989 - September 19, 1990
FINANCIAL AMERICA SECURITIES, INC.
March 23, 1989 - July 26, 1989
BRADY, FOLEY & CO., INCORPORATED
March 20, 1985 - July 29, 1988
FIRST CLEVELAND INVESTMENTS, INC.
February 12, 1985 - February 28, 1985
AMERICA NORTHCOAST SECURITIES, INC.
October 9, 1975 - May 1, 1985
DALEY & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 00
Date: 10/4/1975
General Securities Principal ExaminationCurrent Firm
L&M FINANCIAL SERVICES
CRD#: 26247 / SEC#: , 8-42456
Contact information
Documents
Disclosures
| Arbitration | 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.
