TW
Thomas A. Welch
STIFEL, NICOLAUS & COMPANY
Indianapolis, IN 46240
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CRD#: 2488680
TW
Professional summary
Thomas Alan Welch, CFP®, who also goes by Thomas A Welch, Tom Welch, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Indianapolis, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas A Welch | Tom Welch
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.
1.FINRA; ONE FINANCIAL PLACE 440 SOUTH LA SALLE ST CHICAGO, IL 60605; ADR; ARBITRATOR; 8/1/1999; 0.0 HOURS PER DAY; NOT DURING SECURITIES TRADING HOURS; INVESTMENT RELATED 2. NORTH UNITED METHODIST CHURCH; 3808 N. MERIDIAN STREET, INDIANAPOLIS, IN; RELIGIOUS ORGANIZATION; ENDOWMENT COMMITTEE; REVIEWS THE ISP AND MANAGED FUN ACCOUNT OF THE CHURCH AND RECOMMENDS AN ANNUAL DISTRIBUTION AMOUNT TO THE BOARD OF DIRECTORS; 1/1/2013 * 5.0 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED 3. FREELANCE SINGER; 8454 MESIC CT., INDPLS, IN 46278; VOCAL MUSICIAN; SINGER; NOV 2015; 0 HOURS PER DAY; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alan Welch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alan Welch'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®
Experience
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 8900 Keystone Crossing Suite 300, Indianapolis, IN 46240RIA
BD
CRD#: 793
Indianapolis, IN
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 8900 Keystone Crossing Suite 300, Indianapolis, IN 46240RIA
BD
CRD#: 793
Indianapolis, IN
Past
January 15, 2010 - February 28, 2017
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
INDIANAPOLIS, IN
Past
January 15, 2010 - February 28, 2017
CITY SECURITIES CORPORATION
BD
CRD#: 1459
INDIANAPOLIS, IN
Past
November 13, 2009 - January 21, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
INDIANAPOLIS, IN
Past
November 13, 2009 - January 21, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
INDIANAPOLIS, IN
Past
September 20, 2000 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
INDIANAPOLIS, IN
Past
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 12, 1998 - January 4, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
March 5, 1997 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
INDIANAPOLIS, IN
Past
June 7, 1994 - April 12, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
June 7, 1994 - April 12, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/29/2019)
RR
California(2/28/2017)
RR
Colorado(2/28/2017)
RR
Connecticut(12/6/2017)
RR
Florida(2/28/2017)
RR
Georgia(11/3/2022)
RR
Hawaii(11/5/2020)
RR
Illinois(2/28/2017)
RR
Indiana(2/28/2017)
IAR
Indiana(2/28/2017)
RR
Kansas(2/28/2017)
RR
Michigan(6/26/2019)
RR
Minnesota(12/13/2018)
RR
Mississippi(2/28/2017)
RR
Missouri(2/28/2017)
RR
New York(2/28/2017)
RR
North Carolina(2/28/2017)
RR
Ohio(2/28/2017)
RR
Pennsylvania(2/28/2017)
RR
South Carolina(2/28/2017)
RR
Tennessee(6/27/2017)
RR
Texas(2/28/2017)
IAR
Texas(2/28/2017)
RR
Virginia(2/28/2017)
RR
Wisconsin(3/2/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
