Michael D. Welter
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.
Michael David Welter, who also goes by Michael D Welter, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 6 firms and has passed the Series 65, Series 63 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
May 6, 2019 - December 31, 2020
WELTER FINANCIAL PLANNING, LLC
March 3, 2016 - July 6, 2017
FILBRANDT INVESTMENT ADVISERS INCORPORATED
February 16, 2015 - December 31, 2015
WELTER FINANCIAL PLANNING, LLC
April 21, 2008 - October 31, 2013
FILBRANDT INVESTMENT ADVISERS INCORPORATED
December 18, 2002 - September 7, 2007
HOLT-SMITH ADVISORS
March 2, 1998 - April 10, 2001
RBC CAPITAL MARKETS, LLC
January 16, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
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
WELTER FINANCIAL PLANNING, LLC
CRD#: 301933 / SEC#:
Contact information
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.
