Ronald L. Welburn

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CRD#: 1099647

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ronald Leslie Welburn was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 3 firms and has passed the Series 65 and Series 63 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 14, 2002 - September 13, 2019

AMERAUDI ASSET MANAGEMENT, INC.

RIA

CRD#: 119854

NEW YORK, NY

Past

February 6, 1995 - July 18, 2002

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

February 19, 1983 - September 12, 1988

GLICKENHAUS & CO.

CRD#: 2016

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERAUDI ASSET MANAGEMENT, INC.

CRD#: 119854 / SEC#: 801-115201

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

Florida

Registered Investment Advisory firm - (5/10/2019 Terminated)

New York

Registered Investment Advisory firm - (5/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/7/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/1995

Uniform Securities Agent State Law Examination

Current Firm

AMERAUDI ASSET MANAGEMENT, INC.

CRD#: 119854 / SEC#: 801-115201

RIA

Registered Investment Advisory firm - (5/3/2019 Approved)

Florida

Registered Investment Advisory firm - (5/10/2019 Terminated)

New York

Registered Investment Advisory firm - (5/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2019 Terminated)

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Contact information

Main Address

19 East 54th Street, New York, NY 10022

Mailing Address

Phone number

(212) 833-1090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMERAUDI ASSET MANAGEMENT, INC PART 2A DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,245
AUM (Assets Under Management)	$ 1,743,966,021

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Ronald L. Welburn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERAUDI ASSET MANAGEMENT, INC.

FAM DISTRIBUTORS, INC.

GLICKENHAUS & CO.

Primary Firm SEC Registration

AMERAUDI ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/1995

Series 63

Date: 2/28/1995

Current Firm

AMERAUDI ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERAUDI ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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