Thomas John Walsh

Current Employers

Duncan Financial Planning Advisors

311 Main St., Irwin, PA 15642 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2020-12-13

OH RA
APPROVED

Since 2020-12-13

Branch Locations

3914 Miami Rd Ste 201, Cincinnati, OH 45227 • United States

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-03-05
OH	RA	APPROVED	2011-09-30

TX RA
APPROVED

Since 2013-03-05
OH RA
APPROVED

Since 2011-09-30

Branch Locations

3914 Miami Rd, Ste 201, Cincinnati, OH 45227 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cambridge Investment Research, Inc	Fairfield	IA	09/2011	Present
Cambridge Investment Research Advisors, Inc	Fairfield	IA	09/2011	Present
Duncan Financial Planning Advisors	Irwin	PA	12/2020	Present

09/2011 → Present

Cambridge Investment Research, Inc

Fairfield, IA
09/2011 → Present

Cambridge Investment Research Advisors, Inc

Fairfield, IA
12/2020 → Present

Duncan Financial Planning Advisors

Irwin, PA

Previous Registrations

2005-06-28 → 2011-10-11

Tower Square Securities, Inc.

Cincinnati, OH

Other Businesses

1)WALSH ASSET MANAGEMENT LLC, 3914 MIAMI RD, CINCINNATI, OH, 1/2000 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 5/TRADING. 2)JODA, LLC SPORTS, 3914 MIAMI ROAD, STE 201, CINCINNATI, OH, 05/10, NIR, PRESIDENT, WEBSITE AT TUSL.COM FOR 5HRS EVENING & WKENDS SINCE 05/2010 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 10/WK - 10/TRADING. 09/11. 4)BETA STUDY GROUP, 311 MAIN STREET, IRWIN, PA, REP ADVISOR STUDY GROUP, ADMINISTRATOR TREASURER, 07/19, INV REL 5)DUNCAN FINANCIAL PLANNING ADVISORS, 3914 MIAMI ROAD, SUITE 201, CINCINNATI OH 45227, 08/2026, INVESTMENT ADVISOR REPRESENTATIVE, RIA AFFILIATION - OTHER THAN CIRA, NIR, 5 HR/MO - 5 HR/MO TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-26
S63	Uniform Securities Agent State Law Examination	1993-01-08

S65 Uniform Investment Adviser Law Examination

1999-10-26
S63 Uniform Securities Agent State Law Examination

1993-01-08

Designations

Other Names

Tom Walsh

View on SEC IAPD