Richard W. Shutters
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 Wayne Shutters SR., who also goes by Dick Shutters Sr., Richard Wayne Shutters, Richard Shutters, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 6 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
April 14, 2014 - January 5, 2016
REGULUS FINANCIAL GROUP, LLC
July 31, 2006 - December 13, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 27, 2006 - April 6, 2006
A. G. EDWARDS & SONS, INC.
August 13, 2004 - July 26, 2005
CUSO FINANCIAL SERVICES, L.P.
August 24, 1999 - August 10, 2004
EDWARD JONES
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
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
