Richard W. Chisholm
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 Walter Chisholm, who also goes by Richard Chisholm, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2009 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 28, 2009 - September 25, 2018
WELLS FARGO SECURITIES, LLC
March 13, 2009 - August 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1998 - August 18, 2009
BANC OF AMERICA SECURITIES LLC
January 7, 1994 - October 1, 1998
BANCAMERICA 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
WELLS FARGO BROKERAGE SERVICES, L.L.C.
CRD#: 16100 / SEC#: , 8-33283
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| HOGG, ALAN THOMAS | DIRECTOR, EXECUTIVE VICE PRESIDENT | 3019085 |
| MATTHIES, SILAS LANGDON JR | DIRECTOR/EXECUTIVE VICE PRESIDENT/ASSISTANT SECRETARY | 1385815 |
| MCGRORY, MATTHEW W. | DIRECTOR | 4917590 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER/VICE PRESIDENT | 724703 |
| SCHAEFER, MICHAEL ALLEN | DIRECTOR | 1599656 |
| SHREWSBERRY, JOHN RICHARD | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | 2264673 |
| ZELLMER, JO ANN | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2169167 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
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.
