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Information

Firm:
Type: Dual Registration
Description

Todd Welch is a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,800 registered representatives nationwide. Todd has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Todd C Welch has not answered any questions on Financial Q&A.

Top Guides

Todd C Welch has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Morgan Stanley Smith Banrey Venture Services LLC 4 years, 10 months Jun 2009 - Present
Morgan Stanley & Co., Incorporated 7 years Apr 2007 - Present
Morgan Stanley Dw Inc. 6 years, 11 months May 2000 - Apr 2007
North Charleston Coliseum 12 years, 7 months Jan 1993 - Aug 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/03/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/03/2013
08/04/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
National Commodity Futures Examination Series 3 11/02/2009
General Securities Sales Supervisor - Options Module Examination Series 9 08/03/2009
General Securities Sales Supervisor - General Module Examination Series 10 07/06/2009
Uniform Combined State Law Examination Series 66 07/31/2008
Uniform Securities Agent State Law Examination Series 63 07/28/2006
General Securities Representative Examination Series 7 05/01/2006

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS