TW
Thomas G. Walsh
WALSH & ASSOCIATES
Dekalb, IL 60115
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CRD#: 5295339
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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.
Question & Answer
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.
(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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Gilbert Walsh'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®
NoneExperience
Current
January 17, 2017 - Present
WALSH & ASSOCIATES, LLC
Office #1: 444 E. Hillcrest Drive Suite 230, Dekalb, IL 60115RIA
CRD#: 144441
Dekalb, IL
Current
January 13, 2011 - Present
LPL FINANCIAL LLC
Office #1: 444 E. Hillcrest Dr, Suite 230, Dekalb, IL 60115Office #2: 1701 E. Woodfield Rd Ste 207, Schaumburg, IL 60173-5127RIA
BD
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)
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)
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.
