Richard A. Bliss
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 Ames Bliss III was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1987. Richard had worked at 7 firms and has passed the Series 66 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
September 22, 2008 - February 23, 2009
WELLS FARGO INVESTMENTS, LLC
September 22, 2008 - February 23, 2009
WELLS FARGO INVESTMENTS, LLC
August 4, 2004 - August 7, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 4, 2004 - August 7, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 24, 2001 - January 12, 2004
KESTRA INVESTMENT SERVICES, LLC
August 1, 2001 - January 12, 2004
KESTRA INVESTMENT SERVICES, LLC
January 20, 2000 - August 2, 2001
OGILVIE SECURITY ADVISORS CORPORATION
August 23, 1994 - February 11, 2000
MAFG RIA SERVICES, INC.
August 28, 1992 - August 23, 1994
FFP SECURITIES, INC.
January 21, 1987 - August 19, 1992
CINCINNATI ANALYSTS, 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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
