Thomas Walsh has been Wealth Advisor of Walsh & Associates since March 2018, is not listed as a control person, but directly owns under 5% 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.
- Walsh & Associates, LLCCurrent– present · 9 yearsDeKalb, IL · Adviser representative · Firm CRD 144441
Investment adviser representative registrations
Thomas Walsh is registered as an investment adviser representative in 2 states. The first approvals date from January 2017; the most recent is Florida, in May 2024.
- FloridaSince 14 May 2024
- IllinoisSince 17 January 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 November 2016 |
| Series 7 | General Securities Representative Examination | 12 January 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Gilbert Walsh
- CRD
- 5295339
- Firm
- Walsh & Associates · CRD 144441
- Role
- Wealth Advisor
- Office
- 444 E. Hillcrest Drive, Suite 230, DeKalb, IL 60115
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Walsh work?
Thomas Walsh has been Wealth Advisor of Walsh & Associates, LLC since March 2018.
Is Thomas Walsh a financial advisor?
Yes. Thomas Walsh has a current investment-adviser registration in Florida and Illinois, through Walsh & Associates since January 2017.
How many years of experience does Thomas Walsh have?
Thomas Walsh has 15 years in the financial industry, since January 2011, across 1 adviser firm.
What exams has Thomas Walsh passed?
Thomas Walsh has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in January 2011. FINRA credited Thomas Walsh with the SIE, which began in October 2018.
Where is Thomas Walsh based?
Thomas Walsh’s registered office is in DeKalb, IL.
Is Thomas Walsh registered with FINRA?
Yes. Thomas Walsh has a current broker registration, under CRD 5295339.
Source: FINRA BrokerCheck
How can I verify Thomas Walsh’s record?
Search CRD 5295339 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Walsh’s full registration record.
