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JW

John J. Welsh

Some features on this profile are disabled
CRD#: 714349
JW

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.

John Joseph Welsh was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1980. John had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 24, 2014 - September 3, 2025

UHLMANN PRICE SECURITIES, LLC

BD
CRD#: 42854
SKOKIE, IL
Past

May 24, 2011 - April 17, 2012

BEST DIRECT SECURITIES, LLC

BD
CRD#: 146053
CEDAR FALLS, IA
Past

December 13, 2005 - August 25, 2009

BREWER FINANCIAL SERVICES, LLC

BD
CRD#: 132558
CHICAGO, IL
Past

August 10, 2000 - June 30, 2004

PEREGRINE FINANCIALS & SECURITIES, INC.

BD
CRD#: 43992
CHICAGO, IL
Past

December 1, 1999 - August 3, 2000

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CEDAR RAPIDS, IA
Past

September 25, 1995 - December 12, 1997

FINACOR VENDOME INC.

BD
CRD#: 28921
CHICAGO, IL
Past

February 14, 1995 - February 9, 1996

LUNN PARTNERS SECURITIES, LLC

BD
CRD#: 25444
CHICAGO, IL
Past

June 28, 1993 - December 31, 1994

ENERIC FINANCIAL SERVICES, INC.

BD
CRD#: 11761
FAIRFIELD, IA
Past

March 29, 1990 - July 30, 1993

GERALD FINANCIAL CORP.

BD
CRD#: 22533
CHICAGO, IL
Past

October 2, 1986 - April 9, 1988

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60
Past

August 19, 1980 - October 7, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1980
General Securities Representative Examination

Current Firm

UP
UHLMANN PRICE SECURITIES, LLC
UHLMANN INVESTMENTS, LLC | UHLMANN PRICE SECURITIES, LLC

CRD#: 42854 / SEC#: , 8-50041

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Mailing Address
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Phone number
(847) 305-2037
Established
Illinois since 02/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UPS HOLDINGS, LLCOWNER
BAER, JAMES DANAPRESIDENT/FINOP9936
JBAK, LLCOWNER
KELLY, CINDY MARIECHIEF OPERATING OFFICER3270586
KELLY, CINDY MARIECCO3270586
KONN, ALAN ROBERTMANAGING MEMBER1406973

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.

Company Information

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

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