Richard A. Torti
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 Anthony Torti, who also goes by Dick Torti, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1983. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 3, Series 7, Series 1, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2004 - June 7, 2005
AMERICAN WEALTH MANAGEMENT, INC.
January 28, 2000 - March 22, 2001
U.S. BANCORP ADVISORS, LLC
June 13, 1999 - September 28, 1999
JOHNSON RESEARCH & CAPITAL INCORPORATED
April 14, 1994 - July 7, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
September 13, 1990 - January 1, 1993
POWELL & SATTERFIELD, INC.
November 9, 1987 - August 28, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
May 9, 1983 - February 11, 1986
STEPHENS
Primary Firm SEC Registration
AMERICAN WEALTH MANAGEMENT, INC.
CRD#: 25536 / SEC#: 801-66163, 8-41807
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: 11/21/1990
Interest Rate Options ExaminationSeries 1
Date: 10/8/1969
Registered Representative ExaminationSeries 8
Date: 5/19/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN WEALTH MANAGEMENT, INC.
CRD#: 25536 / SEC#: 801-66163, 8-41807
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,219 |
| AUM (Assets Under Management) | $ 309,865,000 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
