James A. Welck
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 Allen Welck JR, who also goes by Sonny Welck, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2022 - June 18, 2024
WELCK FINANCIAL
August 20, 2007 - December 20, 2022
COMPASS ADVISORY PARTNERS LLC
March 29, 2007 - July 10, 2008
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
February 23, 2004 - March 15, 2013
FSC SECURITIES CORPORATION
May 28, 1999 - September 9, 2022
FSC SECURITIES CORPORATION
February 13, 1997 - May 6, 1999
HORNOR, TOWNSEND & KENT, LLC
March 17, 1994 - February 4, 1997
EQUITY SERVICES, INC.
April 14, 1986 - December 31, 1989
LABREC SECURITIES, INC.
July 6, 1982 - May 23, 1986
UNION STREET EQUITIES, INC.
October 20, 1980 - July 26, 1982
EQUITABLE ADVISORS, LLC
May 1, 1975 - July 26, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 4/22/1975
Registered Representative ExaminationCurrent Firm
WELCK FINANCIAL
CRD#: 323704 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 4,038,891 |
Red Flags
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