Richard J. Walz
Professional summary
Richard John Walz, who also goes by Rich Walz, is a registered financial professional currently at G.DISTRIBUTORS, LLC located in Rye, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 3 firms and has passed the Series 63, SIE, Series 99TO, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard John Walz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2014 - Present
G.DISTRIBUTORS, LLC
Office #1: One Corporate Center, Rye, NY 10580-1435July 8, 2011 - November 3, 2011
CUTWATER ASSET MANAGEMENT
January 23, 1996 - April 6, 2011
CUTWATER ASSET MANAGEMENT
September 26, 1985 - February 24, 1986
AMERIPRISE FINANCIAL SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
G.DISTRIBUTORS, LLC
CRD#: 155071 / SEC#: , 8-68697
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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