Richard B. Myers
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 Burnett Myers was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2010 - January 31, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
June 18, 2010 - January 31, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
January 4, 2007 - June 22, 2010
NOLLENBERGER CAPITAL PARTNERS INC.
January 3, 2007 - June 22, 2010
NOLLENBERGER CAPITAL PARTNERS INC.
October 10, 2002 - January 8, 2007
UBS FINANCIAL SERVICES INC.
October 10, 2002 - January 8, 2007
UBS FINANCIAL SERVICES INC.
August 1, 2001 - October 23, 2002
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - October 23, 2002
DEUTSCHE BANK SECURITIES INC.
September 9, 1998 - January 13, 2001
DB ALEX. BROWN LLC
October 21, 1994 - September 18, 1998
MORGAN STANLEY DW INC.
March 2, 1989 - October 31, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 21, 1986 - March 3, 1989
UBS FINANCIAL SERVICES INC.
November 21, 1984 - August 26, 1986
GFC SECURITIES CORPORATION
March 25, 1983 - December 5, 1984
E. F. HUTTON & COMPANY INC
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
