Andrew J. Welle

CASTLE INVESTMENT MANAGEMENT

ALEXANDRIA, VA 22314

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CRD#: 2335729

Professional summary

Andrew Joseph Welle MR., who also goes by Andrew Joseph Welle, Andy Welle, is a registered financial advisor currently at CASTLE INVESTMENT MANAGEMENT, LLC located in Alexandria, Virginia.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Andrew has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Joseph Welle | Andy Welle

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.

SALES OF MUTUAL FUND, CASTLE MANAGEMENT, LLC, ARBOR COURT CAPITAL, LLC ACTS AS A DISTRIBUTOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Joseph Welle MR.'s 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

June 21, 2010 - Present

CASTLE INVESTMENT MANAGEMENT, LLC

Office #1: 277 S. Washington Street Suite 210, #11161, Alexandria, VA 22314

RIA

CRD#: 153464

ALEXANDRIA, VA

Past

April 1, 2022 - November 13, 2025

ARBOR COURT CAPITAL, LLC

CRD#: 143839

BROADVIEW HEIGHTS, OH

Past

July 27, 2010 - April 7, 2022

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

June 18, 2009 - March 15, 2010

FORESIDE FUND SERVICES, LLC

CRD#: 46106

ALEXANDRIA, VA

Past

January 20, 2005 - July 21, 2010

AFBA INVESTMENT MANAGEMENT COMPANY

RIA

CRD#: 108357

ALEXANDRIA, VA

Past

May 17, 2000 - April 16, 2009

FORESIDE PLAZA DISTRIBUTORS, LLC

CRD#: 103739

ALEXANDRIA, VA

Past

January 25, 1999 - August 21, 2000

TAMARACK DISTRIBUTORS INC.

CRD#: 11181

MINNEAPOLIS, MN

Past

May 5, 1997 - December 31, 1998

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

June 7, 1993 - April 29, 1997

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

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".

CASTLE INVESTMENT MANAGEMENT, LLC

CRD#: 153464 / SEC#: 801-71363

RIA

Registered Investment Advisory firm - (5/20/2010 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

Virginia
(6/21/2010)

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: 10/6/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/4/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/13/1995

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CASTLE INVESTMENT MANAGEMENT, LLC

CRD#: 153464 / SEC#: 801-71363

RIA

Registered Investment Advisory firm - (5/20/2010 Approved)

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Contact information

Main Address

277 S. Washington Street Suite 210, #11161, Alexandria, VA 22314

Mailing Address

P.o. Box 321054, Alexandria, VA 22320

Phone number

(703) 260-1921

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 32,053,280

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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Advisor Monitoring

Firm Stability Insights

Andrew J. Welle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Joseph Welle MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ARBOR COURT CAPITAL, LLC

RAFFERTY CAPITAL MARKETS, LLC

FORESIDE FUND SERVICES, LLC

AFBA INVESTMENT MANAGEMENT COMPANY

FORESIDE PLAZA DISTRIBUTORS, LLC

TAMARACK DISTRIBUTORS INC.

BMA FINANCIAL SERVICES, INC.

AEGON USA SECURITIES INC.

Primary Firm SEC Registration

CASTLE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2004

Series 63

Date: 6/4/1993

SIE

Date: 10/1/2018

Series 6

Date: 6/4/1993

Series 26

Date: 12/13/1995

Current Firm

CASTLE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

CASTLE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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