Richard M. Wesselt
Professional summary
Richard Michael Wesselt 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 1992. Prior to being barred, Richard had worked at 6 firms, which includes FORTUNE FINANCIAL SERVICES INC., THE O.N. EQUITY SALES COMPANY, STONEX SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., WS GRIFFITH SECURITIES INC., 1717 CAPITAL MANAGEMENT COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2017 - November 9, 2020
FORTUNE FINANCIAL SERVICES, INC.
March 14, 2014 - September 6, 2017
THE O.N. EQUITY SALES COMPANY
May 15, 2002 - March 26, 2014
STONEX SECURITIES INC.
April 30, 1997 - May 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
May 23, 1994 - March 25, 1997
WS GRIFFITH SECURITIES, INC.
August 18, 1992 - May 12, 1994
1717 CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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