Angie D. 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.
Angie Deanne Welch, who also goes by Angie D Welch, was a registered financial professional .
Angie is a previously registered financial professional and started their career in finance in 2006. Angie had worked at 8 firms and has passed the Series 66, SIE, Series 7 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
February 24, 2020 - October 4, 2022
CADARET, GRANT & CO., INC.
February 21, 2020 - October 4, 2022
CADARET, GRANT & CO., INC.
August 6, 2015 - July 27, 2018
PRUCO SECURITIES, LLC.
August 6, 2015 - July 27, 2018
PRUCO SECURITIES, LLC.
July 18, 2012 - December 19, 2014
BARCLAYS CAPITAL INC.
July 18, 2012 - December 19, 2014
BARCLAYS CAPITAL INC.
December 2, 2010 - August 3, 2012
PARK AVENUE SECURITIES LLC
November 30, 2010 - August 3, 2012
PARK AVENUE SECURITIES LLC
May 21, 2010 - October 26, 2010
EAGLE STRATEGIES LLC
December 24, 2009 - October 26, 2010
NYLIFE SECURITIES LLC
August 11, 2009 - October 23, 2009
PARK AVENUE SECURITIES LLC
February 13, 2007 - July 12, 2008
IFMG SECURITIES, INC.
February 8, 2007 - July 12, 2008
IFMG SECURITIES, INC.
April 25, 2006 - November 15, 2006
OSAIC WEALTH, 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
