Christopher W. 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.
Christopher William Welch was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2008 - June 4, 2013
NATIXIS DISTRIBUTION, LLC
January 22, 2007 - January 22, 2008
PRINCIPAL SECURITIES, INC.
October 4, 2005 - January 17, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 3, 2005 - September 21, 2005
BOFA ADVISORS, LLC
July 21, 2000 - September 21, 2005
BOFA DISTRIBUTORS, INC.
May 12, 1999 - July 24, 2000
UAM FUND DISTRIBUTORS, INC.
December 24, 1998 - April 6, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
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
Current Firm
NATIXIS DISTRIBUTION, LLC
CRD#: 34754 / SEC#: , 8-46325
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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.
