Robert B. Welch
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.
Robert Bradley Welch, who also goes by Robert Bradley, Brad Welch, Bradley G H Welch III, Bradley George Harrison Welch III, Robert Bradley Welch Iii, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2009 - July 6, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 30, 2004 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 3, 1995 - May 25, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 6, 1991 - October 6, 1995
RAYMOND JAMES & ASSOCIATES, INC.
August 14, 1989 - November 9, 1990
FIRST UNION CAPITAL MARKETS CORP.
June 3, 1988 - August 17, 1989
JOHNSTON, LEMON & CO. INCORPORATED
May 25, 1983 - August 2, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/26/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
