Richard W. Wells
Professional summary
Richard Wayne Wells SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Richard had worked at 5 firms, which includes T.L. GROUP INC., T.L. SMITH SECURITIES, CULLUM & SANDOW INC., CULLUM & SANDOW SECURITIES INC., BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 1995 - January 8, 1997
T.L. GROUP, INC.
September 20, 1994 - October 23, 1995
T.L. SMITH SECURITIES
February 12, 1990 - November 5, 1991
CULLUM & SANDOW, INC.
December 18, 1989 - October 5, 1994
CULLUM & SANDOW SECURITIES, INC.
November 23, 1988 - July 19, 1990
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
T.L. GROUP, INC.
CRD#: 22097 / SEC#: , 8-39546
Contact information
Documents
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