Richard L. Walters
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 Larry Walters, who also goes by Rick Walters, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 13 firms and has passed the Series 63 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
March 29, 1999 - July 31, 1999
HARVESTONS SECURITIES, INC.
September 12, 1996 - March 12, 1998
LLAMA COMPANY
November 18, 1993 - August 22, 1996
MASTERS FINANCIAL GROUP, INC.
June 22, 1993 - November 24, 1993
HENDERSON SECURITIES, INC.
March 26, 1992 - June 9, 1993
THE TRADING DESK, INC.
October 2, 1991 - February 13, 1992
VANGUARD CAPITAL
May 7, 1991 - October 3, 1991
LUMIERE SECURITIES, INC.
June 11, 1990 - May 20, 1991
THE TRADING DESK, INC.
March 1, 1990 - July 6, 1990
APPLE SECURITIES, INC.
January 3, 1990 - January 25, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
April 11, 1989 - January 12, 1990
SWINK & COMPANY, INC.
January 19, 1989 - July 6, 1990
APPLE SECURITIES, INC.
December 12, 1988 - February 11, 1989
U.S. ASSOCIATES, INC.
November 1, 1988 - December 17, 1988
POWELL & SATTERFIELD, INC.
September 22, 1988 - January 25, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
June 26, 1987 - September 27, 1988
UNITED CAPITAL CORPORATION
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
HARVESTONS SECURITIES, INC.
CRD#: 34509 / SEC#: , 8-46293
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
