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Sarah Anne Walsh

Sarah A. Walsh

KESTRA ADVISORY SERVICES | Financial Advisor
Richardson, TX 75082
Some features on this profile are disabled
CRD#: 3024268
Sarah Anne Walsh
Sarah Anne WalshKESTRA ADVISORY SERVICES

Professional summary

Sarah Anne Walsh, CFP®, who also goes by Sarah Anne Riley, Sarah Anne Riley-walsh, Sarah A Tufte, Sarah Anne Tufte, Sarah Anne Walsh, Sarah Anne Riley Walsh, Sarah Walsh, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Richardson, Texas and KESTRA INVESTMENT SERVICES, LLC located in Richardson, Texas.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sarah has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Min. Asset: Under $50K

Services Offered

Employee and Employer Plan Benefits
Divorce Planning
Estate Planning
Retirement Planning
Tax Planning
Investment Planning
Comprehensive Financial Planning
Retirement Income Management
Life Transitions
Business Succession Planning
Insurance Planning
Debt Management

Aliases

Sarah Anne Riley | Sarah Anne Riley-Walsh | Sarah A Tufte | Sarah Anne Tufte | Sarah Anne Walsh | Sarah Anne Riley Walsh | Sarah 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Anne 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: 2005

Experience

Current

June 29, 2026 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 3610 Shire Blvd #212, Richardson, TX 75082
RIA
CRD#: 283330
Richardson, TX
Current

June 29, 2026 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 3610 Shire Blvd #212, Richardson, TX 75082
BD
CRD#: 42046
Richardson, TX
Past

August 15, 2012 - July 8, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Richardson, TX
Past

August 1, 2012 - July 8, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Richardson, TX
Past

August 10, 2005 - August 15, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BLOOMINGTON, MN
Past

July 22, 1998 - August 15, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BLOOMINGTON, MN
Past

March 13, 1998 - June 22, 1998

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN

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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 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.
RR
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

RR
Arkansas
(6/29/2026)
RR
California
(6/29/2026)
RR
Colorado
(6/29/2026)
RR
Florida
(6/29/2026)
RR
Minnesota
(6/29/2026)
RR
Missouri
(6/29/2026)
RR
New Jersey
(6/29/2026)
RR
New Mexico
(6/29/2026)
RR
Oklahoma
(6/29/2026)
RR
Tennessee
(6/29/2026)
RR
Texas
(6/29/2026)
IAR
Texas
(6/29/2026)
RR
Wyoming
(6/29/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/4/2012
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/17/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/12/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/12/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 Approved)
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Contact information

Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
12/23/2024
Cover Page
Report
10/20/2023
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.

Company Information

KESTRA ADVISORY SERVICES, LLC

Financial AdvisorCRD#: 283330Richardson, TX 75082

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Contact information

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