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Thomas Walls

Lombard Advisers Incorporated
41 Years of Experience
Plymouth Meeting, PA
13 DisclosuresBroker
View SEC Summary
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Thomas Walls is a registered investment advisor at Lombard Advisers Incorporated, based in Plymouth Meeting, PA, with 41 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Investment Management, Retirement Planning. Their firm serves 985 clients with $670M in assets under management.

Lombard Advisers Incorporated
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
33 advisors
Number of Clients
985 clients
Average Client Portfolio
$680K average
Assets Under Management
$669.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1.0M - $3.0M1.00%
$3.0M - $10.0M0.75%
$10M+0.75%

Fees are negotiable and may be lower based on various criteria.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

600 Germantown Pike, Suite 400, Plymouth Meeting, PA, 19462

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History

Regulatory History (13)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
September 2021
Judgment / Lien
November 2020
Judgment / Lien
July 2019
Judgment / Lien
July 2019
Judgment / Lien
August 2018
Judgment / Lien
September 2017
Financial
March 2017
Final
Regulatory
April 2015
Final
Judgment / Lien
March 2014
Customer Dispute
July 2005
Denied
Employment Separation After Allegations
September 1988
Employment Separation After Allegations
June 1987
Customer Dispute
June 1987
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas uses Thomas Walls & Associates for tax purposes and receives passive rental income from an apartment unit via Airbnb since October 2023.

Employment History
Current Registrations
Lombard Advisers Incorporated
April 2005 - Present · 21 yrs 6 mos
Lombard Securities Incorporated
December 1999 - Present · 26 yrs 10 mos
Lombard Securities IncorporatedBroker
December 1999 - Present · 26 yrs 10 mos
Previous Registrations
Sunpoint Securities, INC.Broker
October 1998 - November 1999 · 1 yr 1 mo
1717 Capital Management CompanyBroker
March 1990 - September 1998 · 8 yrs 6 mos
Janney Montgomery Scott INC.Broker
July 1987 - October 1988 · 1 yr 3 mos
Dean Witter Reynolds INC.Broker
July 1984 - August 1987 · 3 yrs 1 mo
Mony Securities CORP.Broker
April 1983 - July 1984 · 1 yr 3 mos
State Registrations8 states
DEFLGANCNJNYPATX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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