Richard L. Talbott
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 L Talbott, who also goes by Dick Talbott, Richard Lee Talbott, Richard Talbott, Rick Talbott, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 8 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2019 - April 11, 2019
TD AMERITRADE, INC.
February 5, 2007 - March 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 11, 2006 - March 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2003 - January 12, 2006
FIRST CLEARING, LLC
March 8, 2001 - December 19, 2001
CETERA FINANCIAL SPECIALISTS LLC
January 19, 2000 - December 6, 2001
CAPITAL BROKERAGE CORPORATION
November 13, 1992 - January 25, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1990 - December 31, 1991
G. R. PHELPS & CO., INC.
September 24, 1987 - December 19, 1988
BSI HOLDINGS, 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
Series 7TO
Date: 2/6/2019
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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