Thomas WallsCRD Number: 1105863
Current Firm: Lombard Advisers Incorporated
Thomas Walls (CRD# 1105863) is an Investment Advisor Representative working at Lombard Advisers Incorporated in Plymouth Meeting, PA and has over 39 years of experience in the finance industry.
Oppenheimer & Company Inc.
Lpl Financial LLC
Planning Capital Management Corp.
|Lombard Advisers Incorporated||Plymouth Meeting, PA||Feb 2000 - Current||22|
|Lombard Securities Incorporated||Plymouth Meeting, PA||Dec 1999 - Current||22|
|North American Life Assurance Co||Phila, PA||May 1982 - Current||40|
|Mutual Of New York||Warrington, PA||Apr 1981 - Current||41|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1983|
|S65||NASAA Investment Advisors Law Examination||May 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management255MILLIONS
Total Number of Accounts971ACCOUNTS
Average Account Value$262,133
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
CA, CO, DE, FL, IA, IL, LA, MD, MO, NC, NJ, NY, OH, PA, SC, TN, TX, VA, WV
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