Joseph Walsh has been Wealth Advisor of Walsh & Associates since March 2018, is not listed as a control person, but directly owns between 10% and 25% of the firm.
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.
Joseph Walsh’s longest registration is the current one, 13 years at Walsh & Associates since 2012. Before joining Walsh & Associates in 2012, Joseph Walsh was registered through LPL Financial LLC.
- LPL Financial LLC– · 5 yearsDekalb, IL · Adviser representative · Firm CRD 6413
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 26 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 66 | Uniform Combined State Law Examination | 24 July 2009 |
| Series 7 | General Securities Representative Examination | 23 June 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Patrick Walsh
- CRD
- 4630974
- Firm
- Walsh & Associates · CRD 144441
- Role
- Wealth Advisor
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joseph Walsh work?
Joseph Walsh has been Wealth Advisor of Walsh & Associates, LLC since March 2018.
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 21 years in the financial industry, since June 2005, across 2 adviser firms.
What exams has Joseph Walsh passed?
Joseph Walsh has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2005. 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 4630974.
Source: FINRA BrokerCheck
How can I verify Joseph Walsh’s record?
Search CRD 4630974 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.
