Richard B. Easterly
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 Bruce Easterly, who also goes by Dick Easterly, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 21 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2017 - June 13, 2019
WEALTH WATCH ADVISORS, INC
May 5, 2017 - June 6, 2017
FIRST ADVISORS NATIONAL, LLC
February 18, 2016 - April 12, 2017
HORTER INVESTMENT MANAGEMENT, LLC
September 10, 2014 - October 19, 2015
COLONY PARK FINANCIAL SERVICES LLC.
August 22, 2014 - September 16, 2015
SANDLAPPER SECURITIES, LLC
July 29, 2014 - August 5, 2014
IBN FINANCIAL SERVICES, INC.
September 20, 2013 - July 28, 2014
QUEST CAPITAL STRATEGIES, INC.
September 19, 2013 - July 28, 2014
QUEST CAPITAL STRATEGIES, INC.
February 14, 2013 - August 7, 2013
RIDGEWAY CONGER ADVISORY SERVICES
January 4, 2013 - August 7, 2013
ADIRONDACK TRADING GROUP LLC
August 27, 2012 - December 3, 2012
CREATIVE FINANCIAL DESIGNS, INC.
August 10, 2012 - December 3, 2012
CFD INVESTMENTS, INC.
February 1, 2012 - August 15, 2012
FORESTERS EQUITY SERVICES, INC.
January 3, 2012 - August 15, 2012
FORESTERS EQUITY SERVICES, INC.
March 24, 2011 - December 31, 2011
IC ADVISORY SERVICES, INC.
March 2, 2011 - December 31, 2011
THE INVESTMENT CENTER, INC.
February 16, 2010 - February 11, 2011
IC ADVISORY SERVICES, INC.
January 29, 2010 - February 11, 2011
THE INVESTMENT CENTER, INC.
April 17, 2009 - January 19, 2010
PLANMEMBER SECURITIES CORPORATION
April 14, 2009 - January 19, 2010
PLANMEMBER SECURITIES CORPORATION
January 13, 2009 - April 3, 2009
LPL FINANCIAL LLC
November 21, 2008 - April 3, 2009
LPL FINANCIAL LLC
August 8, 2007 - December 31, 2008
RICHARD B. EASTERLY FINANCIAL ADVISORY SERVICES
August 8, 2007 - April 13, 2009
EASTERLY FINANCIAL ADVISORS
October 18, 2006 - November 3, 2008
FIRST FOUNDERS SECURITIES, INC.
January 31, 2002 - October 26, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 29, 2002 - October 26, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 11, 2002 - January 24, 2002
LEGACY FINANCIAL SERVICES, INC.
July 11, 1996 - September 1, 1999
WMA SECURITIES, INC.
Primary Firm SEC Registration
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
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
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
Contact information
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,556 |
| AUM (Assets Under Management) | $ 473,650,570 |
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.
