TW
Thomas J. Walsh
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
CINCINNATI, OH 45227
Some features on this profile are disabled
CRD#: 1210661
TW
Professional summary
Thomas John Walsh, who also goes by Tom Walsh, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Cincinnati, Ohio and DUNCAN FINANCIAL PLANNING ADVISORS located in Cincinnati, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom 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.
1)WALSH ASSET MANAGEMENT LLC, 3914 MIAMI RD, CINCINNATI, OH, 1/2000 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 5/TRADING. 2)JODA, LLC SPORTS, 3914 MIAMI ROAD, STE 201, CINCINNATI, OH, 05/10, NIR, PRESIDENT, WEBSITE AT TUSL.COM FOR 5HRS EVENING & WKENDS SINCE 05/2010 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/WK - 10/TRADING. 09/11. 4)BETA STUDY GROUP, 311 MAIN STREET, IRWIN, PA, REP ADVISOR STUDY GROUP, ADMINISTRATOR TREASURER, 07/19, INV REL 5) HYDE PARK GOLF AND COUNTRY CLUB, 3740 ERIE AVE, CINCINNATI, OH, TRUSTEE, BOARD MEMBER OF NON-PUBLIC ENTITY, 05/2025, NIR, 4/MO- 2/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Walsh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 30, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3914 Miami Rd, Ste 201, Cincinnati, OH 45227RIA
CRD#: 134139
CINCINNATI, OH
Current
December 13, 2020 - Present
DUNCAN FINANCIAL PLANNING ADVISORS
Office #1: 3914 Miami Rd Ste 201, Cincinnati, OH 45227RIA
CRD#: 309454
CINCINNATI, OH
Current
September 30, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3914 Miami Rd, Ste 201, Cincinnati, OH 45227BD
CRD#: 39543
CINCINNATI, OH
Past
June 28, 2005 - October 11, 2011
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
CINCINNATI, OH
Past
December 3, 1999 - October 11, 2011
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
CINCINNATI, OH
Past
April 9, 1999 - December 2, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
April 9, 1999 - December 2, 1999
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 24, 1998 - March 15, 1999
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
January 4, 1997 - February 25, 1998
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
May 17, 1995 - January 19, 1996
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 25, 1993 - April 21, 1995
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 3155
CINCINNATI, OH
Past
March 4, 1992 - February 23, 1993
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
October 2, 1991 - April 27, 1992
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
August 26, 1991 - April 27, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
July 21, 1987 - January 1, 1990
CENTRAL TRADE$AVER, INC.
BD
CRD#: 17480
Past
February 25, 1986 - January 29, 1987
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 3155
Past
September 24, 1984 - November 12, 1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/12/2025)
RR
California(9/30/2011)
RR
Florida(9/30/2011)
RR
Illinois(9/30/2011)
RR
Indiana(9/30/2011)
RR
Kentucky(9/30/2011)
RR
Maryland(1/27/2015)
RR
New Jersey(7/6/2015)
RR
North Carolina(3/20/2020)
RR
North Dakota(1/6/2022)
RR
Ohio(9/30/2011)
IAR
Ohio(9/30/2011)
RR
Tennessee(4/24/2025)
RR
Texas(3/5/2013)
IAR
Texas(3/5/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Cincinnati, OH 45227TRUST BUT VERIFY
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