Richard D. Tyson
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 Donaldson Tyson JR., who also goes by Richard Donaldson Tyson Jr, Richard Donaldson Tyson, Rick Tyson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE 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
July 12, 2016 - October 2, 2019
M&T SECURITIES, INC.
May 27, 2016 - October 2, 2019
M&T SECURITIES, INC.
June 29, 2015 - February 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2015 - February 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1996 - October 31, 2002
STRATEGIC ADVISERS LLC
November 6, 1995 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
July 23, 1992 - March 7, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 1992 - July 14, 1992
IDS LIFE INSURANCE COMPANY
April 16, 1992 - July 14, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
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.
