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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 2,050 registered representatives nationwide. James has held an industry securities registration for 25 years and is subject to SEC and FINRA oversight.

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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

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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.

Experience and Employment History

Employer Years Dates
Royal Alliance Associates, Inc. 17 years, 11 months May 1996 - Present
Focus Financial Network, Inc. 17 years, 11 months May 1996 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/09/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/09/2012
08/19/2013
*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.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 08/20/1988
Uniform Securities Agent State Law Examination Series 63 06/21/1988

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