Richard C. Waller
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 C Waller, who also goes by Cass Waller, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
May 21, 2018 - April 7, 2020
MERIDIAN EQUITY PARTNERS, INC.
October 18, 2010 - June 14, 2016
MAXIM GROUP LLC
May 8, 2006 - October 15, 2010
BREAN CAPITAL, LLC
April 15, 2003 - November 28, 2005
W.R. HAMBRECHT + CO., LLC
July 19, 1999 - October 3, 2002
COMMERZ MARKETS LLC
November 5, 1998 - July 15, 1999
WELLS FARGO CLEARING SERVICES, LLC
February 21, 1994 - November 5, 1998
JOSEPHTHAL & CO., 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 55
Date: 5/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
MERIDIAN EQUITY PARTNERS, INC.
CRD#: 133849 / SEC#: , 8-66784
Contact information
FINRA licenses (8 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
