AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
James Woodard Peay

James W. Peay

THE WELCH GROUP
Birmingham, AL 35213
Some features on this profile are disabled
CRD#: 3005421
James Woodard Peay

Professional summary

James Woodard Peay, CFP® is a registered financial advisor currently at THE WELCH GROUP, LLC located in Birmingham, Alabama.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has 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.
top-8-questions

Question & Answer

What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Are you a "fiduciary"?
Yes

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) - RIA

Click below to view James Woodard Peay's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2002

Education

Vanderbilt University

Bachelor - Civil Engineering

The University of Alabama

Experience

Current

March 10, 2018 - Present

THE WELCH GROUP, LLC

Office #1: 3940 Montclair Rd Fifth Floor, Birmingham, AL 35213
RIA
CRD#: 111273
Birmingham, AL
Past

May 22, 2006 - March 28, 2007

THE WELCH GROUP, LLC

RIA
CRD#: 111273
BIRMINGHAM, AL
Past

March 20, 2006 - March 15, 2018

WELCH INVESTMENTS, LLC

RIA
CRD#: 111270
BIRMINGHAM, AL
Past

July 17, 1998 - June 3, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BIRMINGHAM, AL
Past

March 10, 1998 - June 3, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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".
TW
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.

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
Alabama
(3/10/2018)
IAR
Texas
(3/10/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/23/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 8/30/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/1998
General Securities Representative Examination

Current Firm

TW
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
25

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/21/2025)

Regulatory assets under management

Total Number of Accounts4,185
AUM (Assets Under Management)$ 3,212,010,865

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/23/2024
Cover Page
Report
01/19/2024
Cover Page
Report
12/28/2022
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.

Company Information

THE WELCH GROUP, LLC

CRD#: 111273Birmingham, AL 35213

TRUST BUT VERIFY

Monitor James Peay

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Martin Garrett Wheeler
Martin WheelerAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Birmingham, AL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.