Caroline J. Welsh

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CRD#: 1173834

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.

Caroline Josephine Welsh was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 1983. Caroline had worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 4 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

December 4, 2018 - October 19, 2022

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

May 26, 2016 - December 31, 2016

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

March 6, 2014 - December 5, 2014

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

April 1, 2011 - March 14, 2012

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 16, 2009 - July 29, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 30, 2007 - February 26, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

September 1, 2005 - April 5, 2007

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BELLEVUE, WA

Past

September 22, 2004 - September 9, 2005

TALBOT FINANCIAL SERVICES, INC.

CRD#: 46345

ALBUQUERQUE, NM

Past

August 7, 2001 - September 27, 2004

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

June 3, 1999 - August 22, 2001

TALBOT FINANCIAL SERVICES, INC.

CRD#: 46345

ALBUQUERQUE, NM

Past

August 24, 1983 - June 2, 1999

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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.

Exams

State Security Law Exam

Series 63

Date: 5/23/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/11/1986

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/1985

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/21/1985

Registered Options Principal Examination

Current Firm

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

FIRST DISCOUNT SECURITIES CORP. | MUTUAL TRUST COMPANY OF AMERICA SECURITIES | MUTUAL TRUST COMPANY OF AMERICA | MUTUAL TRUST CO. OF AMERICA SECURITIES | FIRST FEDERAL SECURITIES, INC.

CRD#: 8494 / SEC#: , 8-25547

Terminated by SEC on 12/13/2024

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 05/24/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
BANDES, JED E	PRESIDENT	722806
BANDES, JED E	CHIEF COMPLIANCE OFFICER	722806

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Caroline J. Welsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE LEADERS GROUP, INC.

JOHN HANCOCK DISTRIBUTORS LLC

CAPITAL BROKERAGE CORPORATION

CAPITAL BROKERAGE CORPORATION

CAPITAL BROKERAGE CORPORATION

SIGNATOR FINANCIAL SERVICES, INC.

TALBOT FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

TALBOT FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/1989

Series 52TO

Date: 1/2/2023

SIE

Date: 12/31/2016

Series 7

Date: 8/20/1983

Series 53

Date: 9/11/1986

Series 24

Date: 10/11/1985

Series 4

Date: 6/21/1985

Current Firm

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

TRUST BUT VERIFY

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