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Timothy R. Welles

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CRD#: 3034295
TW

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.

Timothy Robert Welles was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 4 firms and has passed the Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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®
None

Experience

Past

December 23, 2011 - June 29, 2012

WESTWOOD CAPITAL, LLC

BD
CRD#: 39551
NEW YORK, NY
Past

April 13, 2004 - December 31, 2009

MCGINN, SMITH & CO., INC.

BD
CRD#: 8453
ALBANY, NY
Past

January 29, 2003 - April 1, 2004

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

May 20, 1998 - October 29, 2002

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY

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.

Exams

General Industry/Product Exam
RR
Series 7
Date: 8/30/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/12/1998
Financial and Operations Principal Examination

Current Firm

WC
WESTWOOD CAPITAL, LLC
WESTWOOD CAPITAL HOLDINGS | WESTWOOD CAPITAL, LLC

CRD#: 39551 / SEC#: , 8-48745

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Avenue 24th Floor, New York, NY 10022
Mailing Address
437 24th Floor, New York, NY 10022
Phone number
(212) 867-3200
Established
Delaware since 05/19/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
QUARTER CENTURY HOLDINGS, LLCOWNER
ALPERT, DANIELMANAGING DIRECTOR1098745
MESSERSMITH, JON DAVIDCCO/FINOP/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER2131709

Disclosures

Regulatory Event1

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

WESTWOOD CAPITAL, LLC

CRD#: 39551

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