William A. Walsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Allen Walsh, who also goes by Bill Walsh, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2015 - June 25, 2018
LIDO
April 3, 2013 - July 22, 2015
LIDO ADVISORS
November 30, 2012 - January 11, 2022
INVESTMENT SECURITY CORPORATION
June 15, 2009 - December 6, 2012
GIRARD SECURITIES, INC.
January 2, 2004 - June 19, 2009
OSAIC WEALTH, INC.
January 2, 2004 - June 19, 2009
OSAIC WEALTH, INC.
October 31, 2002 - December 31, 2003
LONDON PACIFIC SECURITIES, INC.
May 22, 2001 - July 13, 2023
LGT FINANCIAL ADVISORS LLC
April 2, 2001 - October 31, 2002
NATIONAL PLANNING CORPORATION
April 2, 2001 - October 31, 2002
NATIONAL PLANNING CORPORATION
November 20, 1998 - April 17, 2001
1ST GLOBAL CAPITAL CORP.
Primary Firm SEC Registration
LIDO
CRD#: 269866 / SEC#: 801-100433
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LIDO
CRD#: 269866 / SEC#: 801-100433
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 27,931 |
| AUM (Assets Under Management) | $ 29,080,337,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/26/2024 | ||
| 01/26/2024 | ||
| 02/28/2023 |
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.
