Michael Walsh has been CCO of Walsh & Associates since January 2013, 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.
Michael Walsh’s longest registration is the current one, 13 years at Walsh & Associates since 2012. Before joining Walsh & Associates in 2012, Michael Walsh was registered through LPL Financial LLC.
- LPL Financial LLC– · 7 yearsFort Mill, SC · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Michael 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 | 11 October 2006 |
| Series 7 | General Securities Representative Examination | 13 September 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael James Walsh
- CRD
- 5160655
- Firm
- Walsh & Associates · CRD 144441
- Role
- CCO
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Walsh work?
Michael Walsh has been CCO of Walsh & Associates, LLC since January 2013.
Is Michael Walsh a financial advisor?
Yes. Michael 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 Michael Walsh have?
Michael Walsh has 20 years in the financial industry, since September 2006, across 2 adviser firms.
What exams has Michael Walsh passed?
Michael Walsh has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2006. FINRA credited Michael Walsh with the SIE, which began in October 2018.
Is Michael Walsh registered with FINRA?
Yes. Michael Walsh has a current broker registration, under CRD 5160655.
Source: FINRA BrokerCheck
How can I verify Michael Walsh’s record?
Search CRD 5160655 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Walsh’s full registration record.
