Richard M. Wachterman
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 Michael Wachterman was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 4 firms and has passed the Series 41, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - July 15, 2014
FRANKLIN DISTRIBUTORS, LLC
February 13, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 4, 1991 - December 20, 2002
KEYBANC CAPITAL MARKETS INC.
December 16, 1980 - October 4, 1991
GRADISON & COMPANY INCORPORATED
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 41
Date: 10/19/1985
NYSE Allied Member ExaminationSeries 8
Date: 2/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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