Douglas P. 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.
Douglas P Welch Jr., CIMA®, who also goes by Douglas Paul Welch Jr., Douglas P Welch, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 11 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2021 - October 1, 2021
LPL FINANCIAL LLC
March 16, 2021 - October 1, 2021
LPL FINANCIAL LLC
May 18, 2017 - November 12, 2018
WILSHIRE ASSOCIATES INCORPORATED
January 3, 2014 - August 11, 2015
RISKX INVESTMENTS LLC
December 19, 2011 - October 16, 2013
QUANTITATIVE ADVANTAGE, LLC
September 25, 2008 - February 3, 2009
THE INSTITUTE
November 20, 2006 - August 29, 2008
CETERA ADVISORS LLC
November 20, 2006 - August 29, 2008
VOYA FINANCIAL ADVISORS, INC.
November 3, 2006 - August 29, 2008
CETERA WEALTH SERVICES, LLC
November 23, 2004 - December 9, 2004
COREBRIDGE CAPITAL SERVICES, INC.
February 15, 2002 - November 18, 2002
AMG DISTRIBUTORS, INC.
October 18, 2001 - January 13, 2002
AMG DISTRIBUTORS, INC.
November 3, 2000 - November 20, 2002
RORER ASSET MANAGEMENT LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 7TO
Date: 3/16/2021
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
