Richard B. Weston
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.
Richard B Weston was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2008 - January 30, 2017
ATLANTIC STATE PARTNERS, LLC
January 23, 1994 - June 15, 2005
J.P. MORGAN SECURITIES INC.
January 23, 1991 - July 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
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 28
Date: 7/23/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ATLANTIC STATE PARTNERS, LLC
CRD#: 147563 / SEC#: , 8-67914
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTON, RICHARD B | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND FINOP | 1058006 |
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.
