Susan S. Welsch
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.
Susan Swett Welsch, who also goes by Susan S Welsch, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1995. Susan had worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2020 - July 12, 2022
GREAT DIAMOND PARTNERS, LLC
October 18, 2002 - May 20, 2019
UBS FINANCIAL SERVICES INC.
March 21, 1995 - May 20, 2019
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
GREAT DIAMOND PARTNERS, LLC
CRD#: 299598 / SEC#: 801-115058
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
GREAT DIAMOND PARTNERS, LLC
CRD#: 299598 / SEC#: 801-115058
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,618 |
| AUM (Assets Under Management) | $ 613,396,493 |
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.
