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RM

Richard B. Marshall

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CRD#: 320818
RM

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 Bond Marshall was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1963. Richard had worked at 5 firms and has passed the Series 63, PC, Series 1, Series 4 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 16, 2010 - May 2, 2013

WOOD (ARTHUR W.) COMPANY, INC.

BD
CRD#: 3798
MERIDEN, CT
Past

March 29, 2005 - December 31, 2006

DETWILER FENTON & CO.

RIA
CRD#: 1794
MERIDEN, CT
Past

March 29, 2005 - November 17, 2010

DETWILER FENTON & CO.

BD
CRD#: 1794
MERIDEN, CT
Past

September 14, 1990 - April 14, 2005

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
NEW LONDON, CT
Past

January 3, 1978 - April 14, 2005

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

September 6, 1972 - May 3, 1978

HOPPIN, WATSON, INC.

BD
CRD#: 410
Past

July 15, 1963 - September 25, 1972

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 9/2/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 7/13/1962
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/10/1978
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 3/30/1973
NYSE Branch Manager Examination

Current Firm

W(
WOOD (ARTHUR W.) COMPANY, INC.
ARTHUR W. WOOD COMPANY | WOOD (ARTHUR W.) COMPANY, INC. | THE NEW ENGLAND COMPANY | ARTHUR WOOD INVESTMENT ADVISORS | ARTHUR W. WOOD COMPANY, INC.

CRD#: 3798 / SEC#: , 8-3368

BD
Approved by SEC on 01/01/1936
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 09/01/1899
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCCARTHY, DONALD PHILIPDIRECTOR, PRESIDENT/CEO, CCO858923

Disclosures

Regulatory Event10

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.

Company Information

WOOD (ARTHUR W.) COMPANY, INC.

CRD#: 3798

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