Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Walsh is a financial professional with over 10 years of experience in the financial services industry. James is currently registered with Northern Trust Securities, Inc. in Illinois. Prior to this, James worked at NYLIFE SECURITIES LLC and ASSOCIATED OPTIONS, INC. James holds the Series 63, SIE and Series 7 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IL
05/07/2018 - Present
Northern Trust Securities, Inc. (CHICAGO IL)
IL
01/13/2016 - 07/12/2017
NYLIFE SECURITIES LLC (DOWNERS GROVE IL)
IL
04/03/2008 - 10/26/2015
ASSOCIATED OPTIONS, INC. (CHICAGO IL)
BC
Issued 05/04/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/24/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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