linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Patrick Walsh

Jefferies LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Patrick Walsh

James Patrick Walsh is a financial professional with over 25 years of experience in the financial services industry. James has been a registered representative with Jefferies LLC since 2007, prior to that James was with Wachovia Securities, LLC and First Union Capital Markets Corp. James is a Series 7, 24, 63 and SIE licensed professional and holds a Series 79TO. James is currently licensed to conduct business in Florida, New York, and North Carolina.

Firm Information

James Walsh is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Walsh’s Registration & Firm History

FL

10/17/2007 - Present

Jefferies LLC (Fort Lauderdale FL)

NC

07/01/2003 - 08/20/2007

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

10/01/1999 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

09/16/1997 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NY

04/18/1997 - 06/06/1997

OPPENHEIMER & CO., INC. (NEW YORK NY)

Not sure if James Patrick Walsh is right for you?

Licenses & Designations

BC

Issued 05/12/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/24/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/17/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Patrick Walsh.
Not sure if James Patrick Walsh is right for you?