Joseph P. Walsh
WALSH & ASSOCIATES | CEO & Wealth Advisor
Sarasota, FL 34237
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CRD#: 1477994
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 exams.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Trust & estate planning
Philanthropic services
Insurance
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Joe 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. 04/10/2006: NO BUSINESS NAME - INV REL - 2639 FRUITVILLE RD STE 103, SARASOTA, FL 34237-5218 - NON-VARIABLE INSURANCE 2. 04/09/2010: WALSH & ASSOCIATES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - 2639 FRUITVILLE RD STE 103, SARASOTA, FL 34237-5218 3. 01/31/2012: SARASOTA COUNTY TECH INSTITUTE - NOT INV REL - TEACHER / INSTRUCTOR - 1% OF TIME SPENT - TEACH A COURSE ABOUT STARTING A SMALL BUSINESS IN THE ADULT COMMUNITY ENRICHMENT PROGRAM 4. 02/02/2012: SARASOTA COUNTY TECH INSITUTE - NOT INV REL - TEACHER/INSTRUCTOR - 1% OF TIME SPENT - TEACH A COURSE ABOUT UNDERSTANDING SOCIAL SERCURITY 5. 05/03/2013: WALSH & ASSOCIATES, LLC - INV REL - 2639 FRUITVILLE RD STE 103, SARASOTA, FL 34237-5218 - REGISTERED INVESTMENT ADVISOR: WALSH & ASSOCIATES, LLC - 90% OF TIME SPENT - FINANCIAL PLANS, INVESTMENT MANAGEMENT FOR FEES BASED ON AUM 6. 04/25/2014: WALSH & ASSOCIATES LTD. - INV REL - 2639 FRUITVILLE RD STE 103, SARASOTA, FL 34237-5218 - REGISTERED INVESTMENT ADVISOR DBA: (HYBRID) WALSH & ASSOCIATES LTD. - 90% OF TIME SPENT - FINANCIAL PLANS, INVESTMENT MANAGEMENT FOR FEES BASED ON AUM 7. 11/17/2015 - Walsh Family Holdings I LLC - INV REL - 2350 Fruitville Rd, Sarasota, FL 34237 - Real Estate Rental - START 11/06/2015 - 2 HOURS PER MONTH, NONE DURING TRADING - 60% of the building will become the OSJ office and th eother 40% will be rented out to a tenant (presently unknown). 8. 1/20/2016: Walsh & Associates - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/03/2015 - 160 Hours Per Month During Securities Trading - IAR. 9. 10/23/2019 - LTCI Partners - Investment related - At reported business location(s) - Non-Variable Insurance - start date:09/18/2019 - 1 hr/mo - 0 hrs during trading. 10. 9/1/2020 - Walsh Family Holdings II, LLC - Investment Related - Boca Grande, Florida 33921 - Real Estate Rental - Start Date: 8/6/2020 - 2 Hours Per Month/0 Hours During Securities Trading. 11. 09/30/2021 - Walsh Family Holdings III - Investment Related - Sarasota, FL - Real Estate Rental - Start Date: 09/29/2021 - 1 Hour Per Month/0 Hours During Securities Trading - Rental of residential single family home.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Walsh JR'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®
CFP®
Start date: 1986
Experience
Current
November 16, 2012 - Present
WALSH & ASSOCIATES, LLC
Office #1: 2350 Fruitville Rd Suite 201, Sarasota, FL 34237Office #2: 444 E. Hillcrest Drive Suite 230, Dekalb, IL 60115RIA
CRD#: 144441
Sarasota, FL
Current
February 2, 1995 - Present
LPL FINANCIAL LLC
Office #1: 2350 Fruitville Rd Ste 201, Sarasota, FL 34237-6114Office #2: 444 E. Hillcrest Dr, Suite 230, Dekalb, IL 60115Office #3: 1701 E. Woodfield Rd Ste 207, Schaumburg, IL 60173-5127RIA
BD
CRD#: 6413
Sarasota, FL
Past
April 12, 1998 - December 4, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
November 5, 1997 - December 31, 2012
WALSH & ASSOCIATES, LTD.
RIA
CRD#: 122792
DEKALB, IL
Past
January 13, 1987 - September 14, 1990
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 19, 1986 - January 14, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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".
W&
WALSH & ASSOCIATES, LLC
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
CRD#: 144441 / SEC#: 801-77605
RIA
Registered Investment Advisory firm - (2/19/2013 Approved)California
Registered Investment Advisory firm - (4/24/2013 Terminated)Florida
Registered Investment Advisory firm - (3/25/2013 Terminated)Texas
Registered Investment Advisory firm - (3/25/2013 Terminated)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(7/25/2000)
RR
California(4/4/1996)
IAR
California(11/16/2012)
RR
Colorado(8/13/1998)
RR
Florida(1/14/1997)
IAR
Florida(1/7/2013)
RR
Georgia(2/26/2001)
RR
Illinois(2/7/1995)
IAR
Illinois(2/19/2013)
RR
Indiana(6/3/2002)
RR
Kentucky(5/25/2018)
RR
Maine(1/18/1996)
RR
Maryland(1/3/1996)
RR
Massachusetts(2/12/2014)
RR
Michigan(6/6/2002)
RR
Minnesota(2/19/1998)
RR
Missouri(11/27/2024)
RR
Nevada(5/12/1997)
RR
New Hampshire(7/29/2025)
RR
New Mexico(10/13/2011)
RR
North Carolina(10/6/2005)
RR
Ohio(8/1/2000)
RR
Oklahoma(7/26/2022)
RR
Pennsylvania(2/16/1999)
RR
South Carolina(10/3/2007)
RR
Tennessee(6/2/2000)
RR
Texas(10/27/2000)
IAR
Texas(12/3/2012)
RR
Utah(7/23/2024)
RR
Virginia(2/9/1995)
RR
Wisconsin(4/11/2000)
RR
Wyoming(9/20/2021)
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
W&
WALSH & ASSOCIATES, LLC
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
CRD#: 144441 / SEC#: 801-77605
RIA
Registered Investment Advisory firm - (2/19/2013 Approved)California
Registered Investment Advisory firm - (4/24/2013 Terminated)Florida
Registered Investment Advisory firm - (3/25/2013 Terminated)Texas
Registered Investment Advisory firm - (3/25/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2350 Fruitville Rd Suite 201, Sarasota, FL 34237
Mailing Address
Phone number
(941) 952-1188
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,281 |
| AUM (Assets Under Management) | $ 660,187,718 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WALSH & ASSOCIATES, LLC
CEO & Wealth AdvisorCRD#: 144441Sarasota, FL 34237TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
