Nicholas J. Welsh

LK&A INVESTMENT COUNSEL

Pasadena, CA 91101-2461

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CRD#: 2289695

Professional summary

Nicholas J Welsh is a registered financial advisor currently at LK&A INVESTMENT COUNSEL located in Pasadena, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Nicholas has worked at 2 firms and has passed the Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Nicholas J Welsh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 23, 1995 - Present

LK&A INVESTMENT COUNSEL

Office #1: 199 South Los Robles Avenue Suite 850, Pasadena, CA 91101-2461Office #2: 199 South Los Robles Avenue Suite 850, Pasadena, CA 91101-2461

RIA

CRD#: 106635

Pasadena, CA

Past

March 2, 1995 - February 11, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 3, 1995 - December 31, 2002

LK&A INVESTMENT COUNSEL

RIA

CRD#: 106635

PASADENA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LK&A INVESTMENT COUNSEL

LAWRENCE W. KELLY & ASSOCIATES, INC | LK&A INVESTMENT COUNSEL | LAWRENCE W. KELLY & ASSOCIATES, INC.

CRD#: 106635 / SEC#: 801-24322

RIA

Registered Investment Advisory firm - (8/16/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/1/2007)

IAR

Texas
(4/5/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1996

General Securities Principal Examination

Current Firm

LK&A INVESTMENT COUNSEL

LAWRENCE W. KELLY & ASSOCIATES, INC | LK&A INVESTMENT COUNSEL | LAWRENCE W. KELLY & ASSOCIATES, INC.

CRD#: 106635 / SEC#: 801-24322

RIA

Registered Investment Advisory firm - (8/16/1985 Approved)

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Contact information

Main Address

199 South Los Robles Avenue Suite 850, Pasadena, CA 91101-2461

Mailing Address

Phone number

(626) 449-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 530,295,307

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.

Contact information

xxxxx@xxxx.xxx

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Nicholas J. Welsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas J Welsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

LK&A INVESTMENT COUNSEL

MORGAN STANLEY DW INC.

LK&A INVESTMENT COUNSEL

Primary Firm SEC Registration

LK&A INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1995

Series 7

Date: 11/17/1992

Series 24

Date: 4/24/1996

Current Firm

LK&A INVESTMENT COUNSEL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LK&A INVESTMENT COUNSEL

TRUST BUT VERIFY

Contact information

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