Thomas Walls has been an investment adviser representative at Lombard Advisers since April 2005, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
- – present · 21 yearsPlymouth Meeting, PA · Adviser representative · Firm CRD 108231
Investment adviser representative registrations
Thomas Walls is registered as an investment adviser representative in Pennsylvania, since April 2005.
- PennsylvaniaSince 8 April 2005
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 27 May 2005 |
| Series 7 | General Securities Representative Examination | 16 June 1984 |
| Series 22 | Direct Participation Programs Representative Examination | 20 December 1983 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 June 1983 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 21 April 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Stephen Walls
- CRD
- 1105863
- Firm
- Lombard Advisers · CRD 108231
- Office
- 600 GERMANTOWN PIKE, SUITE 400, Plymouth Meeting, PA 19462
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Walls work?
Thomas Walls is an investment adviser representative registered through Lombard Advisers Incorporated since April 2005, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Walls a financial advisor?
Yes. Thomas Walls has a current investment-adviser registration in Pennsylvania, through Lombard Advisers since April 2005.
How many years of experience does Thomas Walls have?
Thomas Walls has 42 years in the financial industry, since October 1984, across 1 adviser firm.
What exams has Thomas Walls passed?
Thomas Walls has passed 5 licensing exams: the Series 6, Series 63, Series 22, Series 7 and Series 65. The earliest, the Series 6, was passed in April 1983. FINRA credited Thomas Walls with the SIE, which began in October 2018.
Where is Thomas Walls based?
Thomas Walls’ registered office is in Plymouth Meeting, PA.
Is Thomas Walls registered with FINRA?
Yes. Thomas Walls has a current broker registration, under CRD 1105863.
Source: FINRA BrokerCheck
How can I verify Thomas Walls’ record?
Search CRD 1105863 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Walls’ full registration record.