Leslie T. 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.
Leslie Thomas Welsh JR was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1992. Leslie had worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2005 - July 21, 2021
HIRTLE, CALLAGHAN & CO., LLC
February 29, 2000 - February 12, 2004
HSBC BROKERAGE (USA) INC.
July 28, 1992 - April 8, 1998
FAIRFIELD RESEARCH SECURITIES CORPORATION
Primary Firm SEC Registration
HIRTLE, CALLAGHAN & CO., LLC
CRD#: 105403 / SEC#: 801-32688
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 5
Date: 8/16/1983
Interest Rate Options ExaminationSeries 15
Date: 1/19/1983
Foreign Currency Options ExaminationCurrent Firm
HIRTLE, CALLAGHAN & CO., LLC
CRD#: 105403 / SEC#: 801-32688
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,746 |
| AUM (Assets Under Management) | $ 20,992,384,760 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 10/25/2023 | ||
| 02/27/2023 |
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.
