Daniel F. Walsh

TREE CITY INVESTMENTS

Lake Forest, IL 60045

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CRD#: 1886562

Professional summary

Daniel Francis Walsh is a registered financial advisor currently at TREE CITY INVESTMENTS, INC. located in Lake Forest, Illinois and OSAIC WEALTH, INC. located in Lake Forest, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Daniel has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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-TREE CITY INVESTMENTS; INVESTMENT RELATED;910 Sherwood Drive,Lake Bluff,IL 60044; INVESTMENT; ADVISOR; JAN 1996; 80 HRS/MONTH; 3 HRS/DAY; COMPENSATION-NET FEES; SET AND EXECUTE INVESTMENT PORTFOLIO STRATEGY. ADMINISTER AND SERVICE ISSUES. 2)The Frosted Baker, Inc; not investment related;3790 Hawthorne Ct, Waukegan,IL 60087; bakery;president;9/30/2016;>1 hr during trading;discuss operations with staff 3)Leapfirst Looklast, Inc; not investment related;810 Sheridan Rd, Highwood,Il 60041; restaurant;president;9/30/2016;10 hrs/month;0 hrs during trading;discuss operations with staff 4)Kelsey Ds, Inc; not investment related;910 Sherwood Drive; food distribution; president;1/1/2013;10 hrs/month;>1 hr during trading;oversee product delivery 5)Nexus Advisory Services; investment related;910 Sherwood Drive,Ste 14;investment;president;1/9/1996;30 hrs/month;6.5 hrs during trading;Nexus is the corporate checking account for my investment activities 6)Rental property; not investment related;824 Kalamazoo Circle,Vernon Hills,IL 60061; rental ;owner;1991;0 hrs/month;0 hrs during trading;owner 7) Limitless Beauty Salon and Spa 1044 N Western Ave suite B Lake Forest IL 60045; owner; 0 hrs/month;0 hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Francis Walsh'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®

None

Experience

Current

October 30, 2006 - Present

TREE CITY INVESTMENTS, INC.

Office #1: 1044 N Western Avenue Suite E, Lake Forest, IL 60045

RIA

CRD#: 141279

Lake Forest, IL

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 500 Western Ave Suite 202, Lake Forest, IL 60045

RIA

CRD#: 23131

Lake Forest, IL

Past

June 16, 2000 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Lake Bluff, IL

Past

June 2, 2000 - November 3, 2006

TREE CITY INVESTMENTS, INC.

RIA

CRD#: 108844

LAKE FOREST, IL

Past

January 28, 1998 - June 19, 2000

MARQUIS FINANCIAL SERVICES, INC.

CRD#: 20733

TARZANA, CA

Past

May 19, 1997 - January 22, 1998

PINNACLE FINANCIAL CONSULTANTS, INC.

CRD#: 39640

VALPARAISO, IN

Past

April 11, 1990 - May 12, 1997

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

July 21, 1989 - February 27, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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

Florida
(8/23/2024)

IAR

Illinois
(10/30/2006)

Illinois
(8/23/2024)

Indiana
(8/23/2024)

Michigan
(8/23/2024)

Wisconsin
(8/23/2024)

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

IAR

Series 65

Date: 8/31/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/11/1991

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: 1/16/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/20/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TREE CITY INVESTMENTS, INC.

CRD#: 141279 / SEC#: 801-67227

RIA

Registered Investment Advisory firm - (6/22/2012 Terminated)

Illinois

Registered Investment Advisory firm - (6/19/2012 Approved)

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).

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Contact information

Main Address

500 Western Ave. Suite 202, Lake Forest, IL 60045

Mailing Address

Phone number

(847) 932-9051

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 44,806,880

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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Advisor Monitoring

Firm Stability Insights

Daniel F. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Francis Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

TREE CITY INVESTMENTS, INC.

MARQUIS FINANCIAL SERVICES, INC.

PINNACLE FINANCIAL CONSULTANTS, INC.

WATERSTONE FINANCIAL GROUP, INC.

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1998

Series 63

Date: 12/11/1991

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1996

Series 6

Date: 7/20/1989

FINRA

Current Firm

TREE CITY INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TREE CITY INVESTMENTS, INC.

TRUST BUT VERIFY

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