Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Luke Walsh is a securities professional with over 13 years of experience in the financial services industry. James is currently registered with TD Securities (usa) LLC and is located in Houston, TX. James has held previous roles with UBS Securities LLC, SG Americas Securities, LLC, Clarkson Capital Markets LLC, KeyBanc Capital Markets Inc. and Deutsche Bank Securities Inc. James has a strong track record of success in the financial services industry. James holds Series 63, SIE, Series 79, and Series 7 licenses. James is registered in New York and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
TX
10/05/2018 - Present
TD Securities (usa) LLC (HOUSTON TX)
TX
01/26/2016 - 05/10/2018
UBS SECURITIES LLC (HOUSTON TX)
TX
05/07/2015 - 01/26/2016
SG AMERICAS SECURITIES, LLC (HOUSTON TX)
TX
02/28/2013 - 04/17/2015
CLARKSON CAPITAL MARKETS LLC (HOUSTON TX)
TX
12/22/2014 - 12/22/2014
KEYBANC CAPITAL MARKETS INC. (HOUSTON TX)
TX
07/16/2010 - 03/13/2013
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
NY
08/09/2005 - 08/15/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 08/30/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2010
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/08/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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