William C. Welsted
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 Clifton Welsted, who also goes by Bill Welsted, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2019 - February 10, 2022
OSAIC INSTITUTIONS, INC.
June 5, 2019 - February 10, 2022
OSAIC INSTITUTIONS, INC.
November 5, 2018 - December 5, 2018
MML INVESTORS SERVICES, LLC
October 22, 2018 - December 5, 2018
MML INVESTORS SERVICES, LLC
June 4, 2010 - November 8, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2010 - November 8, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 2, 2005 - August 19, 2005
EMPOWER FINANCIAL SERVICES, INC.
March 12, 1997 - January 8, 1998
VOYA FINANCIAL ADVISORS, INC.
August 29, 1994 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
February 19, 1992 - September 2, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 19, 1992 - September 2, 1994
OSAIC FA, INC.
October 2, 1989 - April 11, 1991
MISSIONSQUARE INVESTMENT SERVICES
May 27, 1987 - September 1, 1988
ADVANTAGE CAPITAL CORPORATION
May 15, 1984 - July 22, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 11, 1983 - May 4, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
