Richard W. Hall
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 Webster Hall, who also goes by Richard W Hall, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 1988 - October 3, 2000
LASALLE ST SECURITIES, L.L.C.
July 11, 1986 - December 18, 1986
BROOK INVESTMENTS, INC.
March 26, 1985 - June 19, 1985
FRANCIS MANZO & COMPANY, INCORPORATED
February 27, 1980 - November 12, 1984
WADDELL & REED
October 8, 1973 - January 4, 1979
TIME EQUITIES, INC.
January 26, 1970 - June 9, 1973
ENTERPRISE FUND DISTRIBUTORS, 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
Series 1
Date: 12/13/1967
Registered Representative ExaminationCurrent Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| 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.
