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Thomas Gilbert Walsh

WALSH & ASSOCIATES

Dekalb, IL

·CRD# 5295339·15 years experience

Professional Summary

Thomas Gilbert Walsh is a registered financial advisor currently at WALSH & ASSOCIATES, LLC located in Dekalb, Illinois and LPL FINANCIAL LLC located in Dekalb, Illinois. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

15 years in the financial services industry

Current & Past Employments

WALSH & ASSOCIATES, LLC·CRD# 144441

RIA

444 E. Hillcrest Drive Suite 230, Dekalb, IL 60115

January 17, 2017 - Present

LPL FINANCIAL LLC·CRD# 6413

RIA

BD

1. 444 E. Hillcrest Dr, Suite 230, Dekalb, IL 601152. 1701 E. Woodfield Rd Ste 207, Schaumburg, IL 60173-5127

January 13, 2011 - Present

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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 - SEC (2/19/2013 Approved)

California

Registered Investment Advisory firm - California (4/24/2013 Terminated)

Florida

Registered Investment Advisory firm - Florida (3/25/2013 Terminated)

Texas

Registered Investment Advisory firm - Texas (3/25/2013 Terminated)

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).

Contact Information

Main Address

2350 Fruitville Rd Suite 201, Sarasota, FL 34237

Phone Number

(941) 952-1188

# of Employees

15

SEC notice filing (23 States and Territories)

Registered to provide investment advisory services in 23 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A FIRM BROCHURE (3/10/2026)

WALSH & ASSOCIATES WRAP PROGRAM (3/10/2026)

Regulatory Assets Under Management

Total Number of Accounts

2,571

AUM (Assets Under Management)

$827,707,540

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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) 1/25/2017 - Walsh & Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/15/2013 - 20 Hours Per Month During Securities Trading.

(2) 1/30/2017 - Walsh & Associates - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 01/17/2017 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Walsh & Associates, an independent investment advisor firm. I started this business activity in 1/2017. I expect to spend approximately 120 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.

(3) 2/12/2018 - Walsh Family Holdings 1 - Not Investment Related - 1325 Sycamore Rd, DeKalb IL 60115 & 2350 Fruitville Rd Sarasota FL 34237 - Real Estate Rental - 2 Hours Per Month During Securities Trading - Rental Property - OSJ has second floor, first floor rented to other tenants.

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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 - SEC (2/19/2013 Approved)

California

Registered Investment Advisory firm - California (4/24/2013 Terminated)

Florida

Registered Investment Advisory firm - Florida (3/25/2013 Terminated)

Texas

Registered Investment Advisory firm - Texas (3/25/2013 Terminated)

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).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(7/2/2025)

RR

California
(7/2/2025)

IAR

Florida
(5/14/2024)

RR

Florida
(7/2/2025)

RR

Illinois
(11/21/2016)

IAR

Illinois
(1/17/2017)

RR

Indiana
(7/2/2025)

RR

Nevada
(7/2/2025)

RR

Wisconsin
(7/2/2025)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2016About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2011About the Series 7 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gilbert Walsh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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