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Patricia Ann Walsh

LPl Financial LLC

New Market, MD

CRD 1580988

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 1998-03-27
  • MD RA
    APPROVED
    Since 1998-03-27

Branch Locations

New Market, MD • 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
OrganizationCityStateFromTo
Linsco/Private Ledger Corp. Kensington MD 03/1997 Present
  • 03/1997 → Present
    Linsco/Private Ledger Corp.
    Kensington, MD
Other Businesses

1. 4/20/2012: DBA ONLY - ALLIED MARKETING GROUP, LLC - TIME SPENT 20%.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-28
S63 Uniform Securities Agent State Law Examination 1990-08-08
  • S65 Uniform Investment Adviser Law Examination
    1998-01-28
  • S63 Uniform Securities Agent State Law Examination
    1990-08-08
Other Names
  • Pat Walsh
  • Tish Walsh
  • Trish Walsh
  • Patty Walsh

View on SEC IAPD

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