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Joseph Norton Walsh

Santander US Capital Markets LLC

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About Joseph Norton Walsh

Joseph Norton Walsh is a financial professional with over 25 years of experience in the industry. Joseph is currently registered with Santander US Capital Markets LLC, a firm that specializes in providing investment banking services. Before joining Santander, Joseph worked for Amherst Securities Group, L.P., RBS Greenwich Capital, and Donaldson, Lufkin & Jenrette Securities Corporation. Joseph has a broad range of experience, having held positions in various financial services firms and having passed a number of industry exams including Series 63, 24, 99TO, 79TO, SIE, and 7. Joseph is currently registered with the state of Arizona and 39 other states, and is also registered with FINRA. Joseph is also registered with the state of Arizona and 39 other states.

Firm Information

Joseph Walsh is currently registered with Santander US Capital Markets LLC. Santander US Capital Markets LLC is a Limited Liability Company formed in January 2010. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. Santander US Capital Markets LLC has also been approved by the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

150

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.

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Joseph Walsh’s Registration & Firm History

NY

10/14/2014 - Present

Santander US Capital Markets LLC (NEW YORK NY)

CT

03/03/2009 - 10/14/2014

AMHERST SECURITIES GROUP, L.P. (GREENWICH CT)

CT

02/26/1999 - 03/27/2008

RBS GREENWICH CAPITAL (GREENWICH CT)

NJ

08/14/1997 - 02/17/1999

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 04/09/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/26/2004

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional 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 08/13/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are 3 public disclosures for Joseph Norton Walsh. Review regulatory record here.
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