James W. Peay

CRD#: 3005421

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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.

James Woodard Peay, CFP® was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 3 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Biography

Woodard Peay joined The Welch Group in 2003 and was named a member of Welch Investments in 2012. He has more than 15 years of experience in the financial services industry. Prior to joining the firm, Woodard worked for seventeen years in the natural gas pipeline and energy marketing industries.

He is a lifelong resident of Birmingham and in his spare time enjoys fresh and saltwater fishing.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2002

Education

Vanderbilt University

Bachelor - Civil Engineering

The University of Alabama

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE WELCH GROUP, LLC

THE WELCH GROUP, LLC | WELCH GROUP LLC

CRD#: 111273 / SEC#: 801-56254

RIA

Registered Investment Advisory firm - (2/2/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/30/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/9/1998

General Securities Representative Examination

Current Firm

THE WELCH GROUP, LLC

THE WELCH GROUP, LLC | WELCH GROUP LLC

CRD#: 111273 / SEC#: 801-56254

RIA

Registered Investment Advisory firm - (2/2/1999 Approved)

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Contact information

Main Address

3940 Montclair Rd Fifth Floor, Birmingham, AL 35213

Mailing Address

Phone number

(205) 879-5001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/26/2026)

Regulatory assets under management

Total Number of Accounts	4,528
AUM (Assets Under Management)	$ 3,682,452,369

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2026	Cover Page	Report
10/23/2024	Cover Page	Report
01/19/2024	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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James W. Peay

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Vanderbilt University

The University of Alabama

Experience

THE WELCH GROUP, LLC

WELCH INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

THE WELCH GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/1998

Series 63

Date: 3/23/1998

Series 31

Date: 8/30/1999

Series 7

Date: 3/9/1998

Current Firm

THE WELCH GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE WELCH GROUP, LLC

TRUST BUT VERIFY

Contact information

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