Joseph Walsh has been Managing Member of Walsh & Associates since November 2012, is a control person of the firm and directly owns between 50% and 75% of it. Joseph Walsh holds a Degree in Personnel Management from Northern Illinois University and an MBA with an emphasis in Finance from Northern Illinois University.
Walsh & Associates, LLC is a Sarasota, FL firm with $828M under management, 1,324 clients and 9 advisers across 3 offices, as of its March 2026 filing.
Joe Walsh Jr. is CEO and Wealth Advisor of Walsh & Associates. He was a restaurateur before entering the field of finance. He established Walsh & Associates, LLC as an SEC-registered investment advisory company in 1986 while still running the restaurant, and launched the firm full-time in 1994.
Joseph Walsh’s longest registration is the current one, 31 years at LPL Financial LLC since 1995. Before joining Walsh & Associates in 2012, Joseph Walsh was registered through Walsh & Associates, LTD.
- Walsh & Associates, LTD.– · 15 yearsDekalb, IL · Adviser representative · Firm CRD 122792
- LPL Financial LLCAlso current– present · 31 yearsFort Mill, SC · Adviser representative and broker · Firm CRD 6413
Professional designations
Listed by Walsh & Associates
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Financial Analyst (CFA®)
- Chartered Retirement Planning Counselor (CRPC®)
- Certified Trust and Fiduciary Advisor (CTFA®)
- Accredited Investment Fiduciary Analyst (AIFA®)
- Certified Private Wealth Advisor (CPWA®)
Investment adviser representative registrations
Joseph Walsh is registered as an investment adviser representative in 4 states. The first approvals date from November 2012; the most recent is Illinois, in February 2013.
- CaliforniaSince 16 November 2012
- FloridaSince 7 January 2013
- IllinoisSince 19 February 2013
- TexasSince 3 December 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 May 1995 |
| Series 7 | General Securities Representative Examination | 1 February 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 January 1995 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 October 1993 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Joseph Patrick Walsh
- CRD
- 1477994
- Firm
- Walsh & Associates · CRD 144441
- Role
- Managing Member
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- walshandassociates.com
Where does Joseph Walsh work?
Joseph Walsh has been Managing Member of Walsh & Associates, LLC since November 2012, and is a control person of the firm.
Is Joseph Walsh a financial advisor?
Yes. Joseph Walsh has a current investment-adviser registration in California, Florida, Illinois and Texas, through Walsh & Associates since November 2012.
How many years of experience does Joseph Walsh have?
Joseph Walsh has 36 years in the financial industry, since August 1990, across 3 adviser firms.
What exams has Joseph Walsh passed?
Joseph Walsh has passed 4 licensing exams: the Series 65, Series 63, Series 7 and Series 24. The earliest, the Series 65, was passed in October 1993. FINRA credited Joseph Walsh with the SIE, which began in October 2018.
Is Joseph Walsh registered with FINRA?
Yes. Joseph Walsh has a current broker registration, under CRD 1477994.
Source: FINRA BrokerCheck
Is Joseph Walsh a CFP?
Walsh & Associates lists Joseph Walsh with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Is Joseph Walsh a CFA charterholder?
Walsh & Associates lists Joseph Walsh with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Joseph Walsh’s record?
Search CRD 1477994 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Walsh’s full registration record.