Richard W. Wiegand
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 Werner Wiegand was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 4 firms and has passed the Series 65, Series 66, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2007 - October 21, 2024
PROACTIVE INVESTMENT MANAGEMENT, LLC
March 13, 2003 - November 7, 2003
SPC
March 3, 2003 - November 7, 2003
PARKLAND SECURITIES, LLC
March 28, 2002 - August 23, 2002
A. G. EDWARDS & SONS, INC.
January 14, 2002 - August 23, 2002
A. G. EDWARDS & SONS, 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
Current Firm
PROACTIVE INVESTMENT MANAGEMENT, LLC
CRD#: 143386 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 575,000 |
Red Flags
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