James L. 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 Lydon Welch was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 8 firms and has passed the Series 63, Series 79TO, 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
July 7, 2005 - July 5, 2024
CHATSWORTH SECURITIES LLC
July 1, 1999 - December 19, 2001
BUTLER MUNI, LLC
January 22, 1996 - July 3, 1997
SAMUEL A. RAMIREZ & COMPANY, INC.
March 29, 1995 - October 2, 1995
SAMUEL A. RAMIREZ & COMPANY, INC.
April 12, 1994 - March 1, 1995
PERSHING LLC
July 22, 1989 - April 20, 1994
MORGAN STANLEY DW INC.
September 1, 1987 - April 17, 1989
RMG CAPITAL L.P.
October 29, 1985 - August 31, 1987
PACIFIC SECURITIES, INC.
December 1, 1980 - October 15, 1985
M.L. STERN & CO., LLC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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