William T. Walsh

Some features on this profile are disabled

CRD#: 1039314

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Thomas Walsh III, CFP®, who also goes by William Thomas Walsh, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Social Security Planning

Investment Planning

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Aliases

William Thomas Walsh

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Past

August 24, 2023 - February 7, 2024

THE MARSHALL FINANCIAL GROUP LLC

RIA

CRD#: 146362

The Villages, FL

Past

August 2, 2023 - August 25, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

November 1, 2007 - July 31, 2023

SPIRE SECURITIES, LLC

CRD#: 144131

MCLEAN, VA

Past

January 1, 2002 - July 31, 2023

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

RESTON, VA

Past

November 27, 2001 - November 2, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MCLEAN, VA

Past

July 2, 1998 - November 23, 2001

LOCKWOOD FINANCIAL SERVICES, INC.

CRD#: 40655

MALVERN, PA

Past

July 1, 1996 - July 14, 1998

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

April 19, 1982 - July 3, 1996

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE MARSHALL FINANCIAL GROUP LLC

FIDUCIARY FIRST ADVISORS | THE MARSHALL FINANCIAL GROUP LLC

CRD#: 146362 / SEC#: 801-117820

RIA

Registered Investment Advisory firm - (12/18/2019 Approved)

Florida

Registered Investment Advisory firm - (2/11/2020 Terminated)

Maryland

Registered Investment Advisory firm - (2/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/18/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/16/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/10/1985

Investment Company Products/Variable Contracts Principal Examination

Current Firm

THE MARSHALL FINANCIAL GROUP LLC

FIDUCIARY FIRST ADVISORS | THE MARSHALL FINANCIAL GROUP LLC

CRD#: 146362 / SEC#: 801-117820

RIA

Registered Investment Advisory firm - (12/18/2019 Approved)

Florida

Registered Investment Advisory firm - (2/11/2020 Terminated)

Maryland

Registered Investment Advisory firm - (2/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/18/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2020 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

225 Schilling Circle Suite 295, Hunt Valley, MD 21031

Mailing Address

Phone number

(410) 563-1190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISLOSURE DOCUMENT FOR ALL CLIENTS (1/31/2025)

Regulatory assets under management

Total Number of Accounts	2,449
AUM (Assets Under Management)	$ 593,043,749

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/22/2026	Cover Page	Report
10/28/2024	Cover Page	Report
07/24/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William T. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE MARSHALL FINANCIAL GROUP LLC

PURSHE KAPLAN STERLING INVESTMENTS

SPIRE SECURITIES, LLC

SPIRE WEALTH MANAGEMENT, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

LOCKWOOD FINANCIAL SERVICES, INC.

UNITED SECURITIES ALLIANCE, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

THE MARSHALL FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/1998

Series 63

Date: 4/16/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/7/1999

Series 6

Date: 4/16/1982

Series 26

Date: 9/10/1985

Current Firm

THE MARSHALL FINANCIAL GROUP LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE MARSHALL FINANCIAL GROUP LLC

TRUST BUT VERIFY

Contact information

Similar Advisors