Jonathan N. Welch

ACADEMY SECURITIES

Roseville, CA 95661

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CRD#: 4904928

Professional summary

Jonathan Niles Welch, CFA is a registered financial professional currently at ACADEMY SECURITIES, INC. located in Roseville, California.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2005. Jonathan has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

March 9, 2018 - Present

ACADEMY SECURITIES, INC.

Office #1: 3017 Douglas Boulevard Suite 300, Roseville, CA 95661

CRD#: 17433

Roseville, CA

Past

May 18, 2012 - March 1, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAN FRANCISCO, CA

Past

July 26, 2010 - May 9, 2012

JEFFERIES LLC

CRD#: 2347

SACRAMENTO, CA

Past

March 25, 2005 - March 13, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

GRASS VALLEY, CA

Past

March 15, 2005 - March 13, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/9/2018)

New York
(3/9/2018)

Exams

State Security Law Exam

Series 63

Date: 6/8/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/24/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Jonathan N. Welch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Niles Welch's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

JEFFERIES LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/2010

Series 66

Date: 3/24/2005

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2010

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

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