Joseph P. Walsh
WALSH & ASSOCIATES
Sarasota, FL 34237
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CRD#: 4630974
Professional summary
Joseph Patrick Walsh III, CFP®, who also goes by Joe Patrick Walsh III, Joseph Patrick Walsh III, is a registered financial advisor currently at WALSH & ASSOCIATES, LLC located in Sarasota, Florida and LPL FINANCIAL LLC located in Sarasota, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Patrick Walsh Iii | Joseph Patrick Walsh Iii
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. 6/1/2010 - WALSH & ASSOCIATES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
2. 12/7/2015 - Walsh Family Holdings I - Investment Related - 2350 Fruitville Rd, Sarasota FL 34237 - Real Estate Rental - Started 11/06/2015 - 2 Hours Per Month/0 Hours During Securities Trading.
3. 2/6/2018 - Walsh & Associates, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/03/15 - 150 Hours Per Month During Securities Trading - I provide investment advisory services through Walsh & Associates, LLC, an independent investment advisor firm. I started this business activity in 1/2016 . I expect to spend approximately 150 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Walsh III'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®
CFP®
Start date: 2021
Experience
Current
November 26, 2012 - Present
WALSH & ASSOCIATES, LLC
Office #1: 2350 Fruitville Rd Suite 201, Sarasota, FL 34237Office #2: 16969 Nw 67th Ave Ste 101, Miami, FL 33015RIA
CRD#: 144441
Sarasota, FL
Current
June 24, 2005 - Present
LPL FINANCIAL LLC
Office #1: 2350 Fruitville Rd Ste 201, Sarasota, FL 34237-6114Office #2: 444 E. Hillcrest Dr, Suite 230, Dekalb, IL 60115Office #3: 1701 E. Woodfield Rd Ste 207, Schaumburg, IL 60173-5127RIA
BD
CRD#: 6413
Sarasota, FL
Past
July 28, 2009 - October 6, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
DEKALB, IL
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".
W&
WALSH & ASSOCIATES, LLC
ADVANTAGE FINANCIAL PLANNING, INC. | WALSH & ASSOCIATES, LTD. | WALSH & ASSOCIATES, LTD | WALSH & ASSOCIATES, LLC | WALSH & ASSOCIATES | THE CARING ADVISORS LLC | THE CARING ADVISOR, INC. | THE CARING ADVISOR INC
CRD#: 144441 / SEC#: 801-77605
RIA
Registered Investment Advisory firm - (2/19/2013 Approved)California
Registered Investment Advisory firm - (4/24/2013 Terminated)Florida
Registered Investment Advisory firm - (3/25/2013 Terminated)Texas
Registered Investment Advisory firm - (3/25/2013 Terminated)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
Arizona(7/2/2025)
IAR
California(11/26/2012)
RR
California(7/2/2025)
RR
Florida(8/23/2011)
IAR
Florida(1/7/2013)
RR
Illinois(7/28/2009)
IAR
Illinois(2/19/2013)
RR
Indiana(7/2/2025)
RR
Nevada(7/2/2025)
IAR
Texas(12/3/2012)
RR
Wisconsin(7/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
W&
WALSH & ASSOCIATES, LLC
ADVANTAGE FINANCIAL PLANNING, INC. | WALSH & ASSOCIATES, LTD. | WALSH & ASSOCIATES, LTD | WALSH & ASSOCIATES, LLC | WALSH & ASSOCIATES | THE CARING ADVISORS LLC | THE CARING ADVISOR, INC. | THE CARING ADVISOR INC
CRD#: 144441 / SEC#: 801-77605
RIA
Registered Investment Advisory firm - (2/19/2013 Approved)California
Registered Investment Advisory firm - (4/24/2013 Terminated)Florida
Registered Investment Advisory firm - (3/25/2013 Terminated)Texas
Registered Investment Advisory firm - (3/25/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2350 Fruitville Rd Suite 201, Sarasota, FL 34237
Mailing Address
Phone number
(941) 952-1188
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,281 |
| AUM (Assets Under Management) | $ 660,187,718 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
