Richard B. Wilson
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 Bryce Wilson, who also goes by Richard Byrce Wilson Mr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 4 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
August 19, 2019 - November 30, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 4, 2016 - December 4, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 5, 2014 - August 21, 2014
TRADINGBLOCK
April 3, 2012 - September 11, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2012 - September 11, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 2009 - December 31, 2011
BROOKSTONE SECURITIES, INC.
November 22, 2006 - September 10, 2007
WALLSTREET*E FINANCIAL SERVICES, INC.
July 27, 2005 - August 22, 2006
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - August 22, 2006
FIRST ALLIED SECURITIES, INC.
July 12, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
February 23, 2004 - July 1, 2004
PRINCIPAL SECURITIES, INC.
May 2, 2003 - July 1, 2004
PRINCIPAL SECURITIES, INC.
August 21, 2002 - April 15, 2003
1ST DISCOUNT BROKERAGE, INC.
January 5, 1996 - August 21, 2002
ACUMENT SECURITIES, INC.
July 6, 1994 - January 5, 1996
EDWARD JONES
March 25, 1992 - June 30, 1994
MORGAN STANLEY DW INC.
January 1, 1992 - March 2, 1992
CHATFIELD DEAN & CO., INC.
April 1, 1991 - January 1, 1992
GLOBALVEST SECURITIES, (USA), INC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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: 3/26/2024
General Securities Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 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.
