Thomas A. Walsh
Professional summary
Thomas Alfred Walsh, AIF®, CFP®, who also goes by Thoma Alfred Walsh, Thomas A. Walsh, Tom Walsh, Tom A Walsh, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Bradenton, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 19 firms and has passed the Series 63, Series 65, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alfred Walsh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alfred Walsh's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1998
Experience
August 6, 2019 - Present
SYNOVUS SECURITIES, INC.
Office #1: 2520 Manatee Avenue West, Bradenton, FL 34205July 31, 2019 - Present
SYNOVUS SECURITIES, INC.
Office #1: 2520 Manatee Avenue West, Bradenton, FL 34205May 23, 2018 - August 7, 2019
TRUIST ADVISORY SERVICES, INC.
April 4, 2018 - August 7, 2019
TRUIST INVESTMENT SERVICES, INC.
September 4, 2013 - July 21, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
August 28, 2013 - July 21, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 2012 - August 30, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
September 23, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
July 7, 2009 - August 27, 2013
FIRST ALLIED SECURITIES, INC.
June 1, 2006 - July 17, 2009
M&I FINANCIAL ADVISORS, INC
May 3, 2001 - June 1, 2006
GOLD CAPITAL MANAGEMENT INC.
April 12, 2001 - May 30, 2001
MORGAN KEEGAN & COMPANY, LLC
May 14, 1998 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
October 23, 1996 - March 4, 1998
AMSOUTH INVESTMENT SERVICES, INC.
April 1, 1996 - November 18, 1996
IFMG SECURITIES, INC.
July 13, 1995 - April 2, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 13, 1995 - April 2, 1996
OSAIC FA, INC.
March 30, 1994 - January 24, 1995
PNC BROKERAGE CORP
December 6, 1991 - March 28, 1994
CETERA WEALTH SERVICES, LLC
September 19, 1989 - December 31, 1989
THE INVESTMENT CENTER, INC.
December 7, 1988 - July 10, 1989
ADVEST, INC.
October 22, 1986 - July 27, 1988
HALPERT AND COMPANY, INC.
Primary Firm SEC Registration
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/1/2019)
(12/5/2024)
(8/1/2019)
(8/29/2019)
(1/8/2024)
(1/8/2024)
(7/31/2019)
(8/6/2019)
(8/1/2019)
(8/23/2019)
(9/3/2019)
(9/10/2019)
(8/1/2019)
(8/30/2019)
(2/16/2023)
(6/25/2024)
(8/1/2019)
(8/5/2019)
(2/4/2022)
(8/1/2019)
(9/9/2019)
(12/22/2023)
(8/6/2019)
(8/29/2019)
(1/13/2023)
(8/1/2019)
(9/4/2019)
(8/1/2019)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
