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Detailed Report
William R Welden
WILLIAM RAINES WELDEN
CRD#: 6195143
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 569 BROOKWOOD VLG
BIRMINGHAM, AL 35209
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2023 - Present (1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2013 - 2018 (4 years)IALEAVELL INVESTMENT MANAGEMENT,... (CRD# 107890)2018 - 2023 (5 years)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2014 - 2018 (4 years)
License(s)

State Registrations

IA
Alabama 4/17/2023
B
North Carolina 4/15/2024
B
Alabama 4/28/2023
B
South Carolina 5/6/2024
B
Florida 5/18/2023
B
Tennessee 7/18/2023
B
Georgia 2/15/2024
B
Texas 10/7/2024
B
Idaho 8/30/2024
IA
Texas 10/19/2024
B
Indiana 5/6/2024
B
Virginia 9/29/2023
B
Kansas 4/11/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
569 BROOKWOOD VLG, BIRMINGHAM, AL 35209
Registered with this firm since 4/17/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
569 BROOKWOOD VLG, BIRMINGHAM, AL 35209
Registered with this firm since 4/22/2023
Previous Registration(s)
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IA
 03/26/2018 - 03/10/2023 LEAVELL INVESTMENT MANAGEMENT, INC. (CRD#:107890) Birmingham, AL
IA
 02/19/2014 - 04/03/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BIRMINGHAM, AL
B
 09/03/2013 - 04/03/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BIRMINGHAM, AL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.