Amanda L. Welling
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.
Amanda Lavin Welling, who also goes by Amanda Lavin, Amanda L. Welling, was a registered financial professional .
Amanda is a previously registered financial professional and started their career in finance in 1996. Amanda had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2010 - December 31, 2012
BOLTON GLOBAL CAPITAL
June 22, 2007 - March 12, 2010
HILLTOP SECURITIES INC.
August 15, 2000 - May 7, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 15, 2000 - May 7, 2007
MSI FINANCIAL SERVICES, INC.
January 28, 1999 - August 10, 2000
CITIGROUP GLOBAL MARKETS INC.
November 18, 1996 - July 23, 1998
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 1996 - July 23, 1998
MSI FINANCIAL SERVICES, 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
Current Firm
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
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.
