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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas John Walsh is a financial advisor with over 30 years of experience in the financial services industry. He is registered with Cambridge Investment Research Advisors, Inc. and Duncan Financial Planning Advisors. Thomas holds a Series 7, 63, 65 and 24 and is a Chartered Financial Analyst. Thomas specializes in financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars. He has experience working with high net worth individuals, charitable organizations, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
OH
03/05/2013 - Present
Cambridge Investment Research Advisors, Inc. (CINCINNATI OH)
OH
12/03/1999 - 10/11/2011
TOWER SQUARE SECURITIES, INC. (CINCINNATI OH)
NY
04/09/1999 - 12/02/1999
AXA ADVISORS, LLC (NEW YORK NY)
NY
04/09/1999 - 12/02/1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
MA
02/24/1998 - 03/15/1999
COMMONWEALTH EQUITY SERVICES, INC. (WALTHAM MA)
GA
01/04/1997 - 02/25/1998
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
MO
05/17/1995 - 01/19/1996
EVEREN SECURITIES, INC. (ST. LOUIS MO)
OH
03/25/1993 - 04/21/1995
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
OH
03/04/1992 - 02/23/1993
MCDONALD & COMPANY SECURITIES, INC. (CLEVELAND OH)
CO
10/02/1991 - 04/27/1992
BENEFITSCORP EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
08/26/1991 - 04/27/1992
THE GREAT-WEST LIFE ASSURANCE COMPANY (ENGLEWOOD CO)
NA
07/21/1987 - 01/01/1990
CENTRAL TRADE$AVER, INC.
NA
02/25/1986 - 01/29/1987
C. H. REITER & CO., INC.
NA
09/24/1984 - 11/12/1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
IA
Issued 10/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/1985
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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