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Thomas Stephen Walls

Lombard Advisers Inc.

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About Thomas Stephen Walls

Thomas Walls is an investment advisor representative with Lombard Advisers Inc. based in Plymouth Meeting, Pennsylvania. Thomas has been in the financial services industry since 1984 and has held registrations in several states. Thomas has experience providing investment advice to a variety of clients, including high-net-worth individuals, charitable organizations, corporations, and individuals. Thomas also has experience in providing financial planning services.

Firm Information

Thomas Walls is currently registered with Lombard Advisers Inc.. Lombard Advisers Inc. is an investment advisor based in Baltimore, MD. The firm provides portfolio management services to individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Lombard Advisers Inc. has approximately $366 million in regulatory assets under management.
Lombard Advisers Inc.

1820 LANCASTER ST

BALTIMORE, MD 21231

$366.42M

Assets Under Management

Not reported

Total Clients

29

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Walls’s Registration & Firm History

PA

04/08/2005 - Present

Lombard Advisers Inc. (PLYMOUTH MEETING PA)

TX

10/02/1998 - 11/19/1999

SUNPOINT SECURITIES, INC. (LONGVIEW TX)

DE

03/08/1990 - 09/18/1998

1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)

NA

07/16/1987 - 10/05/1988

JANNEY MONTGOMERY SCOTT INC.

NA

07/06/1984 - 08/08/1987

DEAN WITTER REYNOLDS INC.

NA

04/22/1983 - 07/27/1984

MONY SECURITIES CORP.

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Licenses & Designations

IA

Issued 05/27/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/09/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/16/1984

Series 7 - General Securities Representative Examination

BC

Issued 12/20/1983

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 04/21/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 14 public disclosures for Thomas Stephen Walls. Review regulatory record here.
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