John A. Welch

93 FINANCIAL GROUP

Woburn, MA 01801

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CRD#: 4142068

Professional summary

John Alan Welch, who also goes by John A Welch, is a registered financial advisor currently at 93 FINANCIAL GROUP, LLC located in Woburn, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John A Welch

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 John Alan 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®

None

Experience

Current

February 15, 2008 - Present

93 FINANCIAL GROUP, LLC

Office #1: 600 Unicorn Park Drive, Woburn, MA 01801

RIA

CRD#: 144235

Woburn, MA

Past

September 6, 2002 - March 16, 2007

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

BOSTON, MA

Past

March 9, 2002 - March 16, 2007

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BOSTON, MA

Past

April 11, 2000 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

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".

93 FINANCIAL GROUP, LLC

CRD#: 144235 / SEC#: 801-78076

RIA

Registered Investment Advisory firm - (5/31/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (6/18/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/7/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(2/15/2008)

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: 9/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/10/2000

General Securities Representative Examination

Current Firm

93 FINANCIAL GROUP, LLC

CRD#: 144235 / SEC#: 801-78076

RIA

Registered Investment Advisory firm - (5/31/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (6/18/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/7/2013 Terminated)

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Contact information

Main Address

600 Unicorn Park Drive, Woburn, MA 01801

Mailing Address

Phone number

(781) 938-6361

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	2,438
AUM (Assets Under Management)	$ 780,342,669

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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John A. Welch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Alan Welch's CRS (Customer Relationship Summary).

Certified licenses

Experience

93 FINANCIAL GROUP, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

Primary Firm SEC Registration

93 FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2002

Series 63

Date: 6/29/2000

Series 7

Date: 4/10/2000

Current Firm

93 FINANCIAL GROUP, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

93 FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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