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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Gaynor Walsh is a financial advisor with over 40 years of experience in the industry. John currently works at Merrill Lynch, Pierce, Fenner & Smith Inc., and holds active registrations in various states, including New York and Texas. John has previously worked with firms such as UBS Financial Services Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. John is also a Registered Principal, a Registered Representative, and holds the Series 3, Series 7, Series 10 and Series 63 licenses, among others. John has a deep understanding of the financial markets and is committed to providing clients with personalized financial advice.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
05/19/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CLIFTON PARK NY)
NY
08/24/2010 - 06/09/2023
UBS FINANCIAL SERVICES INC. (ALBANY NY)
NY
06/01/2009 - 09/20/2010
MORGAN STANLEY SMITH BARNEY (ALBANY NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ALBANY NY)
NY
01/28/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/29/1982 - 02/08/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 07/14/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/21/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1992
Series 3 - National Commodity Futures Examination
BC
Issued 04/17/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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