Todd R. Walsh

ALPHA CUBED INVESTMENTS

COSTA MESA, CA 92626

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CRD#: 1571625

Professional summary

Todd Randall Walsh, who also goes by Todd R Walsh, Todd Walsh, is a registered financial advisor currently at ALPHA CUBED INVESTMENTS, LLC located in Costa Mesa, California.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Todd has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Todd R Walsh | Todd 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.) TWT Farms; non investment-related; Aquaduct rd. (APN #127-110) Bonsall, CA 92003; avocado farm; owner; since 04/2021; apprx. 5 hours per month 2.) Walsh Rentals AZ, LLC; non-investment related; 8726 E. Monterey Way, Scottsdale, AZ 85251; rental property; 50% Owner; Since 03/2023; 0-2 hours per month; 0 hours during trading; Air bnb rental property

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Randall Walsh's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 8, 2011 - Present

ALPHA CUBED INVESTMENTS, LLC

Office #1: 1124 Bristol St., Costa Mesa, CA 92626

RIA

CRD#: 159347

COSTA MESA, CA

Past

November 15, 2012 - October 30, 2013

LEHRER MANAGEMENT CO INC

RIA

CRD#: 107995

SAN JOSE, CA

Past

January 10, 2008 - December 20, 2012

TRW INVESTMENTS

RIA

CRD#: 145901

NEWPORT BEACH, CA

Past

December 18, 1997 - January 28, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ANGELES, CA

Past

December 3, 1997 - January 28, 2008

LPL FINANCIAL LLC

CRD#: 6413

LOS ANGELES, CA

Past

June 9, 1994 - December 9, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 11, 1989 - June 10, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 11, 1988 - January 5, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 24, 1986 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(12/8/2011)

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: 4/21/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/3/1986

National Commodity Futures Examination

Principal/Supervisory Exam

Series 8

Date: 7/26/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

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Contact information

Main Address

1124 Bristol St., Costa Mesa, CA 92626

Mailing Address

Phone number

(800) 701-2457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,786
AUM (Assets Under Management)	$ 3,026,637,539

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.

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Firm Stability Insights

Todd R. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Randall Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEHRER MANAGEMENT CO INC

TRW INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ALPHA CUBED INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/1994

Series 63

Date: 10/22/1986

Series 7

Date: 8/12/1994

Series 3

Date: 11/3/1986

Series 8

Date: 7/26/1996

Current Firm

ALPHA CUBED INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CUBED INVESTMENTS, LLC

TRUST BUT VERIFY

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