Richard John Walz
Professional Summary
Richard John Walz, who also goes by Rich Walz, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rich Walz
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
Years of Experience
41 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
Current Firm
G.DISTRIBUTORS, LLC | GABELLI FUNDS DISTRIBUTOR, LLC
Contact Information
Main Address
One Corporate Center, Rye, NY 10580-1435Mailing Address
One Corporate Center, Rye, NY 10580-1435Phone Number
(914) 921-5000Established
Delaware since 08/10/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Richard John Walz's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
MORGAN STANLEY
