Charles W. Welch
Professional summary
Charles William Welch, who also goes by Chuck Welch, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2001. Charles has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles William Welch's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 17, 2016 - July 31, 2025
MENALTO ADVISORS, LLC
February 1, 2012 - November 11, 2016
KROLL SECURITIES LLC
May 4, 2006 - December 17, 2013
PAGEMILL PARTNERS, LLC
September 30, 2002 - April 17, 2006
SVB ALLIANT
November 9, 2001 - October 1, 2002
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/7/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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