Thomas M. 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.
Thomas Mathew Welch II, who also goes by Thomas Welch, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2010 - January 5, 2015
ARMORY SECURITIES, LLC
August 30, 2005 - August 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ARMORY SECURITIES, LLC
CRD#: 147796 / SEC#: , 8-67929
Contact information
FINRA licenses (12 States and Territories)
Documents
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.
