Richard W. Allison
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 Wilson Allison, who also goes by Richard W Allison, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 3 firms and has passed the Series 63, Series 3, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - June 11, 2013
HIGH COUNTRY CAPITAL MANAGEMENT
January 23, 1990 - August 11, 1993
AELTUS CAPITAL, INC
June 24, 1983 - January 24, 1990
AETNA FINANCIAL SERVICES, 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
Series 2
Date: 7/18/1969
Non-Member General Securities ExaminationCurrent Firm
HIGH COUNTRY CAPITAL MANAGEMENT
CRD#: 106151 / SEC#: 801-63035
Contact information
Regulatory assets under management
| Total Number of Accounts | 353 |
| AUM (Assets Under Management) | $ 82,381,661 |
Red Flags
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