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James Harold Walsh

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Information

Other Names: Jim Walsh
Firm:
Additional Firm:
Type: Dual Registration
Description

James Walsh is a financial professional at Focus Financial, a $2B RIA based in Minneapolis, MN. James is also registered with Royal Alliance Associates, Inc., a broker-dealer with over 1,900 registered representatives nationwide. James has held an industry securities registration for less than a year and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Focus Financial Network, Inc. 18 years, 7 months May 1996 - Present
Royal Alliance Associates, Inc. 18 years, 7 months May 1996 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 06/21/1988

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

James Harold Walsh has not answered any questions on Financial Q&A.

Top Guides

James Harold Walsh has not contributed any Financial Guides.
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Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
09/21/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: PERCENTAGE OF ASSETS UNDER MANAGEMENT WITH THIRD PARTY MANAGER