Joseph Patrick Walsh Jr
CFP®Professional Summary
Joseph Patrick Walsh JR, CFP®, who also goes by Joe Walsh, is a registered financial advisor currently at WALSH & ASSOCIATES, LLC located in Sarasota, Florida and LPL FINANCIAL LLC located in Sarasota, Florida. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate & Legacy Planning
- Risk Management & Insurance
- Financial Planning
- Retirement Planning
Specializations
Other Aliases
Joe Walsh
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
ADVANTAGE FINANCIAL PLANNING, INC. | WALSH & ASSOCIATES, LTD. | WALSH & ASSOCIATES, LTD | WALSH & ASSOCIATES, LLC | WALSH & ASSOCIATES | THE CARING ADVISORS LLC | THE CARING ADVISOR, INC. | THE CARING ADVISOR INC
Contact Information
Main Address
2350 Fruitville Rd Suite 201, Sarasota, FL 34237Phone Number
(941) 952-1188# of Employees
15SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,571AUM (Assets Under Management)
$827,707,540Similar Advisors
OSAIC WEALTH, INC.
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ADVANTAGE FINANCIAL PLANNING, INC. | WALSH & ASSOCIATES, LTD. | WALSH & ASSOCIATES, LTD | WALSH & ASSOCIATES, LLC | WALSH & ASSOCIATES | THE CARING ADVISORS LLC | THE CARING ADVISOR, INC. | THE CARING ADVISOR INC
State Registrations and Notice Filings
(7/25/2000)
(4/4/1996)
(11/16/2012)
(8/13/1998)
(1/14/1997)
(1/7/2013)
(2/26/2001)
(2/7/1995)
(2/19/2013)
(6/3/2002)
(8/5/2026)
(5/25/2018)
(1/18/1996)
(1/3/1996)
(2/12/2014)
(6/6/2002)
(2/19/1998)
(11/27/2024)
(5/12/1997)
(7/29/2025)
(10/13/2011)
(10/6/2005)
(8/1/2000)
(7/26/2022)
(2/16/1999)
(10/3/2007)
(6/2/2000)
(10/27/2000)
(12/3/2012)
(7/23/2024)
(2/9/1995)
(4/11/2000)
(9/20/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Walsh JR's CRS (Customer Relationship Summary).
Services Offered by Joseph
- Estate & Legacy Planning
- Risk Management & Insurance
- Financial Planning
- Retirement Planning
Similar Advisors
OSAIC WEALTH, INC.
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