Richard A. Lavery
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 Alan Lavery was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 000, Series 53, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2001 - March 1, 2002
WELLS FARGO INVESTMENTS, LLC
July 28, 1998 - July 11, 2001
WELLS FARGO SECURITIES, LLC
July 31, 1993 - July 6, 1998
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 16, 1981 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 4, 1980 - January 30, 1982
THOMSON MCKINNON SECURITIES INC.
September 12, 1978 - August 3, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 2/9/1982
Interest Rate Options ExaminationPC
Date: 8/27/1980
AMEX Put and Call ExamSeries 1
Date: 12/20/1972
Registered Representative ExaminationSeries 000
Date: 12/15/1972
General Securities Principal ExaminationSeries 40
Date: 5/19/1977
Registered Principal ExaminationSeries 12
Date: 5/18/1971
NYSE Branch Manager ExaminationCurrent Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
