Scott D. Welch

CERTUITY

Potomac, MD

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CRD#: 4038356

Professional summary

Scott David Welch, CIMA® is a registered financial advisor currently at CERTUITY, LLC located in Potomac, Maryland.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Scott has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

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 Scott David Welch'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 15, 2024 - Present

CERTUITY, LLC

RIA

CRD#: 129505

Potomac, MD

Past

December 18, 2019 - December 7, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

September 12, 2017 - September 23, 2019

DYNASTY SECURITIES, LLC

CRD#: 159076

NEW YORK, NY

Past

August 6, 2013 - September 26, 2014

LPL FINANCIAL LLC

CRD#: 6413

ROCKVILLE, MD

Past

June 12, 2006 - November 12, 2014

FORTIGENT, LLC

RIA

CRD#: 138164

ROCKVILLE, MD

Past

January 1, 2000 - June 12, 2006

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

RIA

CRD#: 107659

ROCKVILLE, MD

Past

October 20, 1999 - February 27, 2012

FORTIGENT SECURITIES COMPANY, LLC.

CRD#: 46022

ROCKVILLE, MD

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".

CERTUITY, LLC

CRD#: 129505 / SEC#: 801-62580

RIA

Registered Investment Advisory firm - (1/2/2004 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

Maryland
(11/15/2024)

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

Series 63

Date: 3/9/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/22/2000

Registered Options Principal Examination

Current Firm

CERTUITY, LLC

CRD#: 129505 / SEC#: 801-62580

RIA

Registered Investment Advisory firm - (1/2/2004 Approved)

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Contact information

Main Address

1295 Us Highway One Third Floor, North Palm Beach, FL 33408

Mailing Address

Phone number

(561) 693-3255

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

CERTUITY FORM ADV PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	1,889
AUM (Assets Under Management)	$ 3,100,032,026

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/04/2024	Cover Page	Report
12/22/2023	Cover Page	Report
11/23/2022	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.

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Scott D. Welch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott David Welch's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

DYNASTY SECURITIES, LLC

LPL FINANCIAL LLC

FORTIGENT, LLC

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

FORTIGENT SECURITIES COMPANY, LLC.

Primary Firm SEC Registration

CERTUITY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/9/2020

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1999

Series 24

Date: 1/9/2007

Series 4

Date: 6/22/2000

Current Firm

CERTUITY, 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

CERTUITY, LLC

TRUST BUT VERIFY

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