William E. Welsh
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.
William Edward Welsh III, who also goes by Bill Welsh, William Edward Welsh, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 6 firms and has passed the Series 63, Series 31, 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
October 25, 2013 - August 29, 2014
DEUTSCHE BANK SECURITIES INC.
October 25, 2013 - August 29, 2014
DEUTSCHE BANK SECURITIES INC.
July 7, 2010 - October 2, 2013
ROBERT W. BAIRD & CO. INCORPORATED
July 6, 2010 - October 2, 2013
ROBERT W. BAIRD & CO. INCORPORATED
September 7, 2007 - July 12, 2010
WELLS FARGO INVESTMENTS, LLC
August 27, 2007 - July 12, 2010
WELLS FARGO INVESTMENTS, LLC
February 10, 2005 - September 19, 2006
J.P. MORGAN SECURITIES LLC
May 6, 1986 - February 16, 2005
LEHMAN BROTHERS INC.
July 5, 1985 - October 18, 1985
J.P. MORGAN SECURITIES LLC
July 21, 1983 - July 15, 1985
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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: 3/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
