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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

THOMAS ALAN WELCH

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

INDIANAPOLIS, IN

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Search this name across graphsid dfx:ria:f546db11-9c8a-7c56-1800-52ea31800774

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STIFEL, NICOLAUS & COMPANY, INCORPORATED
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 15, 1994
First registration: Sep 20, 2000
Dual registered: yes, broker-dealer
Other names: TOM WELCH|THOMAS A WELCH
IAPD individual key: 2488680

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Feb 28, 2017	n/a	yes	INDIANAPOLIS, IN	Current employment
CITY SECURITIES CORPORATION	Former SEC adviser	Jan 15, 2010	Feb 28, 2017	no	INDIANAPOLIS, IN	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	Jan 21, 2010	no	INDIANAPOLIS, IN\|BELLEVILLE, IL	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Sep 20, 2000	Nov 13, 2009	no	ZIONSVILLE, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|BELLEVILLE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITY SECURITIES CORPORATION	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Feb 28, 2017	Feb 28, 2017	0	Bulk transfer	Other
PNC WEALTH MANAGEMENT	CITY SECURITIES CORPORATION	Jan 21, 2010	Jan 15, 2010	-6	Firm change	Other
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Feb 28, 2017 to presentfactForm ADV
→ CITY SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 15, 2010 to Feb 28, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2009 to Jan 21, 2010factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 20, 2000 to Nov 13, 2009factForm ADV

Dated events

No dated event names this entity yet.