Richard J. Walton
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 James Walton was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 2 firms and has passed the Series 63, SIE, Series 22 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
July 2, 2007 - November 8, 2016
WESTMORELAND CAPITAL CORPORATION
February 24, 1984 - June 21, 1984
FIRST JERSEY SECURITIES, 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
WESTMORELAND CAPITAL CORPORATION
CRD#: 11469 / SEC#: , 8-24116
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
