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THOMAS JOHN WALSH
TOM WALSH
CRD#: 1210661
IA
Investment Adviser
B
Broker
DUNCAN FINANCIAL PLANNING ADVISORSCRD#: 309454 3914 MIAMI RD
STE 201
CINCINNATI, OH 45227
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 3914 MIAMI RD, STE 201
CINCINNATI, OH 45227
Registration History
1985199019952000200520102015202020252 FIRMS1991 - 1992 (<1 year)2 FIRMS1999 - 1999 (<1 year)2 FIRMS2011 - Present (13 years)IADUNCAN FINANCIAL PLANNING ADVISORS (CRD# 309454)2020 - Present (4 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)1999 - 2011 (11 years)BCOMMONWEALTH EQUITY SERVICES, INC. (CRD# 8032)1998 - 1999 (1 year)BADVANTAGE CAPITAL CORPORATION (CRD# 146)1997 - 1998 (1 year)BEVEREN SECURITIES, INC. (CRD# 19616)1995 - 1996 (<1 year)BFIFTH THIRD SECURITIES, INC. (CRD# 3155)1993 - 1995 (2 years)BMCDONALD & COMPANY SECURITIES,... (CRD# 566)1992 - 1993 (<1 year)BCENTRAL TRADE$AVER, INC. (CRD# 17480)1987 - 1990 (2 years)BC. H. REITER & CO., INC. (CRD# 3155)1986 - 1987 (<1 year)BTHE GREAT-WEST LIFE ASSURANCE ... (CRD# 5927)1984 - 1985 (1 year)IATOWER SQUARE SECURITIES, INC. (CRD# 833)2005 - 2011 (6 years)
License(s)

State Registrations

B
Arizona 4/6/2017

B
New Jersey 7/6/2015

B
California 9/30/2011

B
North Carolina 3/20/2020

B
Florida 9/30/2011

B
North Dakota 1/6/2022

B
Illinois 9/30/2011

B
Ohio 9/30/2011

B
Indiana 9/30/2011

IA
Ohio 9/30/2011

B
Kentucky 9/30/2011

B
Texas 3/5/2013

B
Maryland 1/27/2015

IA
Texas 3/5/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
DUNCAN FINANCIAL PLANNING ADVISORS (CRD#:309454)
3914 MIAMI RD STE 201, CINCINNATI, OH 45227
Registered with this firm since 12/13/2020

IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
3914 MIAMI RD, STE 201, CINCINNATI, OH 45227
Registered with this firm since 9/30/2011

B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
3914 MIAMI RD, STE 201, CINCINNATI, OH 45227
Registered with this firm since 9/30/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/28/2005 - 10/11/2011 TOWER SQUARE SECURITIES, INC. (CRD#:833) CINCINNATI, OH
B
12/03/1999 - 10/11/2011 TOWER SQUARE SECURITIES, INC. (CRD#:833) CINCINNATI, OH
B
04/09/1999 - 12/02/1999 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
04/09/1999 - 12/02/1999 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
B
02/24/1998 - 03/15/1999 COMMONWEALTH EQUITY SERVICES, INC. (CRD#:8032) WALTHAM, MA
B
01/04/1997 - 02/25/1998 ADVANTAGE CAPITAL CORPORATION (CRD#:146) ATLANTA, GA
B
05/17/1995 - 01/19/1996 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
03/25/1993 - 04/21/1995 FIFTH THIRD SECURITIES, INC. (CRD#:3155) CINCINNATI, OH
B
03/04/1992 - 02/23/1993 MCDONALD & COMPANY SECURITIES, INC. (CRD#:566) CLEVELAND, OH
B
10/02/1991 - 04/27/1992 BENEFITSCORP EQUITIES, INC. (CRD#:13109) GREENWOOD VILLAGE, CO
B
08/26/1991 - 04/27/1992 THE GREAT-WEST LIFE ASSURANCE COMPANY (CRD#:5927) ENGLEWOOD, CO
B
07/21/1987 - 01/01/1990 CENTRAL TRADE$AVER, INC. (CRD#:17480)
B
02/25/1986 - 01/29/1987 C. H. REITER & CO., INC. (CRD#:3155)
B
09/24/1984 - 11/12/1985 THE GREAT-WEST LIFE ASSURANCE COMPANY (CRD#:5927)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.