Edward J. Welsh
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.
Edward James Welsh, who also goes by E James Welsh, Jim Welsh, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1979. Edward had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2021 - June 1, 2022
SMART PORTFOLIOS, LLC
September 12, 2016 - March 16, 2017
COMMONWEALTH FINANCIAL NETWORK
September 12, 2016 - March 16, 2017
COMMONWEALTH FINANCIAL NETWORK
October 25, 2012 - January 5, 2016
ALPS DISTRIBUTORS, INC.
August 13, 2010 - June 14, 2012
MORGAN STANLEY
August 4, 2010 - June 14, 2012
MORGAN STANLEY
January 17, 2008 - December 14, 2010
WELSH MONEY MANAGEMENT LLC
June 23, 1995 - July 22, 1998
CAPITAL GROWTH RESOURCES
January 22, 1992 - June 16, 1995
FIRST WALL STREET CORP.
July 10, 1989 - April 27, 1992
VANGUARD CAPITAL
February 19, 1988 - September 9, 1989
BRIARWOOD INVESTMENT COUNSEL
November 10, 1984 - July 10, 1989
BLISS SECURITIES, INC.
March 20, 1984 - November 5, 1984
KIDDER, PEABODY & CO. INCORPORATED
May 15, 1983 - April 9, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 26, 1979 - May 16, 1983
BLUNT ELLIS & LOEWI INCORPORATED
Primary Firm SEC Registration
SMART PORTFOLIOS, LLC
CRD#: 131342 / SEC#: 801-67772
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
SMART PORTFOLIOS, LLC
CRD#: 131342 / SEC#: 801-67772
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 470 |
| AUM (Assets Under Management) | $ 202,918,930 |
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.
