Richard J. Wayman
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 Joseph Wayman, who also goes by Richard J Wayman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 4 firms and has passed the Series 16, Series 7 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
July 8, 2010 - April 4, 2017
NEW ALBANY CAPITAL PARTNERS, LLC
February 3, 2003 - December 2, 2005
RESEARCHSTOCK.COM,INC.
May 9, 2001 - April 8, 2005
ASCENSION FINANCIAL SOLUTIONS, INC.
February 22, 1993 - June 15, 1999
FIFTH THIRD SECURITIES, 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
NEW ALBANY CAPITAL PARTNERS, LLC
CRD#: 144982 / SEC#: 801-68296
Contact information
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 76,141,931 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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