John F. 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.
John Francis Walsh, who also goes by John Francis Walsh, John Walsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2018 - September 24, 2021
DINOSAUR FINANCIAL GROUP, L.L.C
December 15, 2015 - June 27, 2018
BILTMORE INTERNATIONAL CORPORATION
March 18, 1993 - August 17, 2015
HILLTOP SECURITIES INC.
August 9, 1990 - February 18, 1993
RAUSCHER PIERCE REFSNES, INC.
November 13, 1989 - July 11, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
May 19, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
January 12, 1987 - April 7, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - May 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1976 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 7/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| 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.
