Frank G. Welch

QUARVE ASSOCIATES

Stamford, CT 06905

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CRD#: 2869645

Professional summary

Frank G. Welch III, who also goes by Frank G. Welch 3rd, Frank Welch, is a registered financial advisor currently at QUARVE ASSOCIATES, LLC located in Stamford, Connecticut.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Frank has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank G. Welch 3rd | Frank 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.

QUARVE ASSOCIATES; NOT INVESTMENT RELATED; ONE ATLANTIC STREET, STAMFORD, CT 06901; OWNER SINCE NOVEMBER 2006; HOURS DEVOTED: 50 HOURS/MONTH, 2 HOURS DURING SECURITIES TRADING HOURS; DUTIES: COMPLETE TAX PREPARATION SERVICE INCLUDING REVIEW, AMENDMENTS, TAX REPRESENTATION AND ANY PLANNING AND ADVISORY SERVICE. Mortgage Loan Originator licensed in State of Connecticut NMLS #1627926 Non-Investment related Work through Warshaw Capital LLC 2777 Summer Street Ste 306 Stamford CT 06905 Started this work in October 2017 Hours devoted per month - 20 and of these 1 hour per day is during securities trading hours Duties are Originating Residential and Commercial Mortgage Loans

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank G. Welch III'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®

None

Experience

Current

November 3, 1997 - Present

QUARVE ASSOCIATES, LLC

Office #1: 30 Oak Street Suite 203, Stamford, CT 06905

RIA

CRD#: 112160

Stamford, CT

Past

May 10, 2001 - January 17, 2007

VANGUARD INVESTMENT LTD

RIA

CRD#: 126596

STAMFORD, CT

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/3/1997)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/1997

Uniform Investment Adviser Law Examination

Current Firm

QUARVE ASSOCIATES, LLC

QUARVE ASSOCIATES | QUARVE ASSOCIATES, LLC | QUARVE ASSOCIATES LLC

CRD#: 112160 / SEC#: 801-56579

RIA

Registered Investment Advisory firm - (7/6/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (7/3/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

350 Bedford Street Suite 307, Stamford, CT 06901

Mailing Address

Phone number

(203) 356-1910

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 42,776,840

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.

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Frank G. Welch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank G. Welch III's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUARVE ASSOCIATES, LLC

VANGUARD INVESTMENT LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/1997

Current Firm

QUARVE ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

QUARVE ASSOCIATES, LLC

TRUST BUT VERIFY

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