James 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.
James David Welch was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2011 - September 30, 2014
ATLANTIC TRADING INDICES LLC
June 21, 2007 - February 27, 2009
DRAGO TRADING, L.L.C.
December 30, 2005 - May 9, 2007
SPARTA GROUP OF CHICAGO, L.P.
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
ATLANTIC TRADING INDICES LLC
CRD#: 153033 / SEC#: , 8-68499
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC TRADING HOLDING LLC | MEMBER | |
| ATLANTIC TRADING CPO LLC | MANAGER | |
| PLISKIN, PHILIP JEFFREY | CFO, PROPRIETARY TRADING PRINCIPAL, CHIEF COMPLIANCE OFFICER | 1763344 |
Disclosures
| Regulatory Event | 3 |
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.
