Joseph F. Welsh
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.
Joseph F Welsh, who also goes by Joseph F Welsh III, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2012 - March 19, 2014
GLOBAL-AMERICAN INVESTMENTS, INC.
June 29, 2010 - March 15, 2012
MARQUIS HOLDINGS, INC.
December 15, 2009 - January 15, 2010
JB DRAX HONORE' INC.
February 8, 2001 - July 2, 2008
MF GLOBAL INC.
March 16, 1999 - February 20, 2001
CITIGROUP GLOBAL MARKETS INC.
August 1, 1997 - March 15, 1999
NEWEDGE FINANCIAL INC.
July 1, 1997 - August 1, 1997
MORGAN STANLEY DW 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
Exams
Series 55
Date: 9/18/2009
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL-AMERICAN INVESTMENTS, INC.
CRD#: 41802 / SEC#: , 8-49582
Contact information
Documents
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.
