Patrick J. Walsh

WALSH CAPITAL LLC

RALEIGH, NC

Some features on this profile are disabled

CRD#: 6309318

Professional summary

Patrick Joseph Walsh is a registered financial advisor currently at WALSH CAPITAL LLC located in Raleigh, North Carolina.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Patrick has worked at 2 firms and has passed the Series 65 exam.

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) DILIGENCE GROUP - PARTNER. 1/2020 TO PRESENT. NOT INVESTMENT RELATED, RALEIGH, NC. PRIVATE BUSINESS CONSULTING. SPEND APPROXIMATELY 5 HRS/MONTH ON THIS ACTIVITY, NONE DURING SECURITIES TRADING HOURS. 2) ALL THE ROAD BEFORE US - PERSONAL BLOG WRITER. 2023 TO PRESENT. NOT INVESTMENT RELATED. BLOG IS A SIDE PROJECT TO SHARE IDEAS WITH FAMILY AND FRIENDS. LESS THAN TWO HOURS PER MONTH SPENT ON THIS ACTIVITY, NONE DURING NORMAL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph 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®

None

Experience

Current

July 2, 2024 - Present

WALSH CAPITAL LLC

RIA

CRD#: 331399

RALEIGH, NC

Past

September 1, 2021 - March 13, 2024

DEFENDER CAPITAL

RIA

CRD#: 159607

Raleigh, NC

Past

August 4, 2014 - January 13, 2020

DEFENDER CAPITAL

RIA

CRD#: 159607

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(7/2/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2014

Uniform Investment Adviser Law Examination

Current Firm

WALSH CAPITAL LLC

WALSH CAPITAL | WALSH CAPITAL LLC

CRD#: 331399 / SEC#:

North Carolina

Registered Investment Advisory firm - (7/2/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Raleigh, NC

Mailing Address

Phone number

(949) 466-4236

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 21,667,713

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick J. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALSH CAPITAL LLC

DEFENDER CAPITAL

DEFENDER CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2014

Current Firm

WALSH CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WALSH CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors