Richard S. Schlicher
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 Scott Schlicher was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2016 - January 2, 2018
1ST BCCW CAPITAL CORP
January 15, 2009 - May 9, 2014
GILL AND ROESER HOLDINGS, INC.
January 7, 2000 - August 22, 2002
IRONWOOD CAPITAL LTD.
April 1, 1999 - November 9, 1999
ADVEST, INC.
August 10, 1998 - March 21, 1999
AURIA SERVICES CORP.
April 7, 1993 - September 15, 1998
FIELDSTONE PRIVATE CAPITAL GROUP, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
1ST BCCW CAPITAL CORP
CRD#: 34380 / SEC#: , 8-46379
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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