John P. Walsh

Some features on this profile are disabled

CRD#: 1089639

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.

John Philip Walsh, who also goes by Jack Walsh, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1983. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jack 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.

JOHN P. WALSH POSITION: Self-employed broker NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 10 START DATE: 04/12/1982 ADDRESS: 10 Forbes Rd West, STE 210, Braintree MA 02184, United States DESCRIPTION: Sales and Service of Insurance products

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®

None

Experience

Past

July 19, 2012 - January 5, 2023

CAPITAL ANALYSTS

RIA

CRD#: 162200

Braintree, MA

Past

June 1, 2012 - January 5, 2023

LINCOLN INVESTMENT

CRD#: 519

Braintree, MA

Past

July 6, 2000 - June 1, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

BRAINTREE, MA

Past

August 8, 1990 - June 29, 2000

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

September 19, 1988 - December 19, 1989

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 10, 1983 - August 25, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

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: 7/17/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 7/25/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/24/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

Phone number

(800) 242-1421

Established

Firm type

Fiscal year end

# of Employees

739

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts	26,578
AUM (Assets Under Management)	$ 8,713,202,466

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John P. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

PRINCIPAL SECURITIES, INC.

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CAPITAL ANALYSTS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2012

Series 63

Date: 12/26/1985

SIE

Date: 10/1/2018

Series 22

Date: 7/25/1989

Series 6

Date: 1/24/1983

Current Firm

CAPITAL ANALYSTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL ANALYSTS

TRUST BUT VERIFY

Similar Advisors