Richard W. Talley
Professional summary
Richard William Talley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Richard had worked at 7 firms, which includes TALLEY & COMPANY, KING MANAGEMENT COMPANY, ROTH CAPITAL PARTNERS LLC, TALLEY MCNEIL & CO. INC., LEHMAN BROTHERS INC., CITIGROUP GLOBAL MARKETS INC., SMITH BARNEY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2000 - September 2, 2010
TALLEY & COMPANY
March 15, 1993 - December 16, 1999
KING MANAGEMENT COMPANY
April 26, 1990 - December 1, 1992
ROTH CAPITAL PARTNERS, LLC
September 4, 1985 - October 21, 1991
TALLEY, MCNEIL & CO., INC.
November 30, 1977 - September 16, 1985
LEHMAN BROTHERS INC.
February 27, 1976 - December 7, 1977
CITIGROUP GLOBAL MARKETS INC.
March 18, 1970 - February 27, 1976
SMITH, BARNEY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 3/16/1970
Registered Representative ExaminationCurrent Firm
TALLEY & COMPANY
CRD#: 29203 / SEC#: , 8-44161
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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