Gregory B. Welch
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.
Gregory Byron Welch was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1995. Gregory had worked at 3 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 1997 - June 18, 1999
LLOYD WADE SECURITIES INC.
June 27, 1995 - October 24, 1996
BILTMORE SECURITIES, INC.
March 7, 1995 - June 28, 1995
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 2/10/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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