Noel R. Welsh
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.
Noel Richard Welsh, who also goes by Rich Welsh, was a registered financial professional .
Noel is a previously registered financial professional and started their career in finance in 1971. Noel had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2011 - February 29, 2020
HOUSTON ASSET MANAGEMENT, INC.
October 31, 2005 - August 15, 2022
OSAIC SERVICES, INC.
October 31, 2005 - August 15, 2022
OSAIC SERVICES, INC.
September 22, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 7, 1971 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 17, 1971 - September 7, 1971
WORLD CAPITAL BROKERAGE, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/12/1971
Registered Representative ExaminationCurrent Firm
HOUSTON ASSET MANAGEMENT, INC.
CRD#: 114126 / SEC#:
Contact information
Red Flags
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