Alice K. Walsh

MIDDLETON & COMPANY

BOSTON, MA 02210

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CRD#: 2035254

Professional summary

Alice Kenney Walsh, CFP® is a registered financial advisor currently at MIDDLETON & COMPANY INC. located in Boston, Massachusetts.

Alice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Alice has worked at 2 firms and has passed the Series 65, Series 63, Series 2 and Series 22 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Estate Planning

Comprehensive Financial Planni...

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alice Kenney 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: 1988

Experience

Current

January 1, 1996 - Present

MIDDLETON & COMPANY INC.

Office #1: 600 Atlantic Avenue T-18, Boston, MA 02210

RIA

CRD#: 104549

BOSTON, MA

Past

January 1, 1996 - December 31, 2002

MIDDLETON & COMPANY INC.

RIA

CRD#: 104549

BOSTON, MA

Past

March 15, 1990 - September 27, 1995

BARTON HALL SECURITIES, INC.

CRD#: 18465

CAMBRIDGE, MA

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".

MIDDLETON & COMPANY INC.

CRD#: 104549 / SEC#: 801-21247

RIA

Registered Investment Advisory firm - (5/4/1984 Approved)

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

Massachusetts
(1/1/1996)

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: 12/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 9/27/1996

Non-Member General Securities Examination

General Industry/Product Exam

Series 22

Date: 3/14/1990

Direct Participation Programs Representative Examination

Current Firm

MIDDLETON & COMPANY INC.

CRD#: 104549 / SEC#: 801-21247

RIA

Registered Investment Advisory firm - (5/4/1984 Approved)

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Contact information

Main Address

600 Atlantic Avenue; 18th Floor, Boston, MA 02210-2211

Mailing Address

Phone number

(617) 357-5101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MIDDLETON & COMPANY, INC. FORM ADV PART 2A BROCHURE - 3.2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	602
AUM (Assets Under Management)	$ 1,159,077,098

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
08/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
02/24/2023	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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Firm Stability Insights

Alice K. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alice Kenney Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIDDLETON & COMPANY INC.

BARTON HALL SECURITIES, INC.

Primary Firm SEC Registration

MIDDLETON & COMPANY INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/1996

Series 63

Date: 3/14/1990

Series 2

Date: 9/27/1996

Series 22

Date: 3/14/1990

Current Firm

MIDDLETON & COMPANY INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MIDDLETON & COMPANY INC.

TRUST BUT VERIFY

Contact information

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