James H. Walsh

FOCUS FINANCIAL

MINNEAPOLIS, MN 55426

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CRD#: 1842414

Professional summary

James Harold Walsh, CFP®, who also goes by Jim Walsh, is a registered financial advisor currently at FOCUS FINANCIAL located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Investment Planning

Retirement Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

Aliases

Jim 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. POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/01/1996 ADDRESS: 1000 Shelard Pkwy, Suite 300, St. Louis Park, MN 55426 DESCRIPTION: Providing investment advisory advice to clients. 2. FOCUS FINANCIAL NETWORK, INC. POSITION: Financial Advisor NATURE: Registered investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/01/1996 ADDRESS: 1000 Shelard pkwy., Suite 300, St. Louis Park MN 55426, United States DESCRIPTION: Providing investment advisory advice to clients. 3. WALSH FINANCIAL MANAGEMENT INC. POSITION: Owner NATURE: Sub S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/25/2002 ADDRESS: 7009 Mark Terrace Dr, Edina MN 55439, United States DESCRIPTION: Business owner, manage the books.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harold 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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

January 13, 2014 - Present

FOCUS FINANCIAL

Office #1: 1000 Shelard Parkway Suite 250, Minneapolis, MN 55426

RIA

CRD#: 116140

MINNEAPOLIS, MN

Current

July 11, 1996 - Present

OSAIC WEALTH, INC.

Office #1: 1000 Shelard Parkway Suite 300, Minneapolis, MN 55426

RIA

CRD#: 23131

Minneapolis, MN

Past

December 17, 2013 - July 27, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MINNETONKA, MN

Past

September 28, 2005 - December 31, 2013

FOCUS FINANCIAL

RIA

CRD#: 116140

MINNEAPOLIS, MN

Past

May 10, 1996 - June 3, 1996

OSAIC WEALTH, INC.

CRD#: 23131

Past

August 25, 1988 - May 14, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 25, 1988 - May 14, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

FOCUS FINANCIAL

CRD#: 116140 / SEC#: 801-71117

RIA

Registered Investment Advisory firm - (3/2/2010 Approved)

Arizona

Registered Investment Advisory firm - (3/5/2010 Terminated)

California

Registered Investment Advisory firm - (3/8/2010 Terminated)

Colorado

Registered Investment Advisory firm - (3/12/2010 Terminated)

Florida

Registered Investment Advisory firm - (3/5/2010 Terminated)

Georgia

Registered Investment Advisory firm - (3/5/2010 Terminated)

Illinois

Registered Investment Advisory firm - (3/2/2010 Terminated)

Indiana

Registered Investment Advisory firm - (3/9/2010 Terminated)

Iowa

Registered Investment Advisory firm - (3/5/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/24/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (3/8/2010 Terminated)

Missouri

Registered Investment Advisory firm - (3/5/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (3/12/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (3/5/2010 Terminated)

New York

Registered Investment Advisory firm - (3/5/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (3/5/2010 Terminated)

North Dakota

Registered Investment Advisory firm - (3/5/2010 Terminated)

Ohio

Registered Investment Advisory firm - (3/5/2010 Terminated)

Oregon

Registered Investment Advisory firm - (3/5/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/31/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (3/5/2010 Terminated)

Texas

Registered Investment Advisory firm - (3/5/2010 Terminated)

Washington

Registered Investment Advisory firm - (3/5/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/5/2010 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.

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

Arizona
(1/8/2025)

California
(5/11/2017)

Colorado
(8/13/2002)

Delaware
(3/26/2015)

Florida
(3/24/2015)

Indiana
(5/23/2014)

Iowa
(1/8/2025)

Maryland
(5/7/2025)

Massachusetts
(3/15/2001)

Michigan
(1/8/2025)

Minnesota
(7/11/1996)

IAR

Minnesota
(1/13/2014)

Nebraska
(9/14/2021)

New Mexico
(12/11/2024)

Oregon
(1/8/2025)

Texas
(2/24/2025)

IAR

Texas
(2/25/2025)

Washington
(5/8/2021)

Wisconsin
(1/30/1997)

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

State Security Law Exam

Series 63

Date: 6/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FOCUS FINANCIAL

CRD#: 116140 / SEC#: 801-71117

RIA

Registered Investment Advisory firm - (3/2/2010 Approved)

Arizona

Registered Investment Advisory firm - (3/5/2010 Terminated)

California

Registered Investment Advisory firm - (3/8/2010 Terminated)

Colorado

Registered Investment Advisory firm - (3/12/2010 Terminated)

Florida

Registered Investment Advisory firm - (3/5/2010 Terminated)

Georgia

Registered Investment Advisory firm - (3/5/2010 Terminated)

Illinois

Registered Investment Advisory firm - (3/2/2010 Terminated)

Indiana

Registered Investment Advisory firm - (3/9/2010 Terminated)

Iowa

Registered Investment Advisory firm - (3/5/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/24/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (3/8/2010 Terminated)

Missouri

Registered Investment Advisory firm - (3/5/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (3/12/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (3/5/2010 Terminated)

New York

Registered Investment Advisory firm - (3/5/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (3/5/2010 Terminated)

North Dakota

Registered Investment Advisory firm - (3/5/2010 Terminated)

Ohio

Registered Investment Advisory firm - (3/5/2010 Terminated)

Oregon

Registered Investment Advisory firm - (3/5/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/31/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (3/5/2010 Terminated)

Texas

Registered Investment Advisory firm - (3/5/2010 Terminated)

Washington

Registered Investment Advisory firm - (3/5/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/5/2010 Terminated)

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Contact information

Main Address

1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413

Mailing Address

Phone number

(651) 631-8166

Established

Firm type

Fiscal year end

# of Employees

172

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOCUS FINANCIAL FIRM BROCHURE (7/21/2025)

Regulatory assets under management

Total Number of Accounts	26,057
AUM (Assets Under Management)	$ 6,262,663,508

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/16/2025	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James H. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harold Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FOCUS FINANCIAL

OSAIC WEALTH, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FOCUS FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/1988

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

FINRA

Current Firm

FOCUS FINANCIAL

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOCUS FINANCIAL

TRUST BUT VERIFY

Contact information

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