James D. Welsch
Professional summary
James David Welsch, CFP®, who also goes by Jim Welsch, Jimmy Welsch, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James David Welsch's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2014 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111October 1, 2012 - August 21, 2013
J.P. MORGAN SECURITIES LLC
August 3, 2011 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 1, 2006 - December 1, 2006
CHASE INVESTMENT SERVICES CORP.
December 1, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 21, 2005 - December 1, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
April 19, 2005 - November 21, 2005
BROWNCO, LLC
November 20, 2003 - June 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 7, 2001 - October 3, 2003
BROWNCO, LLC
June 28, 1995 - May 16, 2001
BROWNCO, LLC
May 6, 1994 - January 19, 1995
TEXAS CAPITAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2014)
(9/2/2014)
Exams
Series 8
Date: 6/30/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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