Richard M. Oleary
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 Michael Oleary was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 8 firms and has passed the Series 63, Series 3 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 3, 2005 - December 6, 2005
WFG INVESTMENTS, INC.
July 8, 2002 - February 23, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 8, 1999 - September 22, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 2, 1998 - February 19, 1999
RBC CAPITAL MARKETS, LLC
June 13, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 17, 1993 - June 14, 1994
WELLS FARGO CLEARING SERVICES, LLC
January 13, 1990 - January 31, 1992
GOLDMAN SACHS & CO. LLC
February 6, 1989 - June 20, 1989
REUTERS C 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
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
