Thomas M. Welch
Professional summary
Thomas M Welch, who also goes by Thomas Matthew Welch, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in San Antonio, Texas and FROST BROKERAGE SERVICES, INC. located in Dallas, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Thomas has 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) - RIA
Click below to view Thomas M Welch's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 30, 2023 - Present
FROST INVESTMENT SERVICES
Office #1: 111 West Houston Street, San Antonio, TX 78205February 12, 2018 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 2950 N Harwood, Dallas, TX 75201March 15, 2018 - December 31, 2021
FROST INVESTMENT SERVICES
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2018)
(1/30/2023)
Exams
FINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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