Wickliffe P. Curtis
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.
Wickliffe Pickett Curtis, who also goes by Fritz Curtis Jr, Wickliffe P Curtis, Wickliffe Pickett Curtis Jr, Wickliffe Pickett Curtis Jr., was a registered financial professional .
Wickliffe is a previously registered financial professional and started their career in finance in 1987. Wickliffe had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2022 - August 22, 2023
EATON VANCE DISTRIBUTORS, INC.
August 14, 2006 - January 15, 2022
MORGAN STANLEY DISTRIBUTION, INC.
August 20, 2005 - July 20, 2006
BOFA DISTRIBUTORS, INC.
August 30, 2004 - August 20, 2005
BACAP DISTRIBUTORS, LLC
January 20, 2000 - June 9, 2003
AMERICAN BEACON ADVISORS, INC.
February 5, 1996 - May 22, 2003
MOMENTUM INDEPENDENT NETWORK INC.
August 28, 1989 - January 29, 1996
FIDELITY DISTRIBUTORS CORPORATION
April 27, 1987 - June 8, 1989
FIDELITY BROKERAGE 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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