Richard W. Towt
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 Warren Towt, who also goes by Dick Warren Towt, Dick Towt, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1974. Richard had worked at 24 firms and has passed the Series 65, Series 63, Series 55, Series 1, Series 27, Series 4, Series 24 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
April 2, 2004 - December 31, 2012
R.W. TOWT & ASSOCIATES
March 26, 2004 - March 14, 2013
R.W. TOWT & ASSOCIATES
February 5, 2002 - August 1, 2003
MISSION SECURITIES CORPORATION
September 14, 2000 - September 8, 2001
SPELMAN & CO., INC.
September 11, 2000 - September 13, 2001
SENTRA SECURITIES CORPORATION
July 31, 1999 - September 6, 2000
CENTEX SECURITIES, INCORPORATED
June 2, 1999 - June 30, 1999
WORLD TRADE FINANCIAL CORPORATION
October 6, 1998 - May 19, 1999
AMERICAN INVESTMENT SERVICES, INC.
December 22, 1997 - October 6, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
April 2, 1997 - March 9, 1998
CENTEX SECURITIES, INCORPORATED
February 13, 1996 - September 18, 1996
MARION BASS SECURITIES CORPORATION
November 17, 1995 - September 24, 1996
CENTEX SECURITIES, INCORPORATED
June 20, 1995 - December 6, 1995
H.J. MEYERS & CO., INC.
July 28, 1992 - March 1, 1995
CENTEX SECURITIES, INCORPORATED
April 1, 1991 - March 31, 1992
CENTEX SECURITIES, INCORPORATED
July 26, 1990 - December 1, 1990
TOLUCA PACIFIC SECURITIES CORP.
May 8, 1990 - July 23, 1990
FORESTERS EQUITY SERVICES, INC.
January 16, 1989 - May 7, 1990
CORPORATE BENEFIT SECURITIES, INC.
September 25, 1987 - January 31, 1989
TRADEMARK INVESTMENT SERVICES, INC.
May 14, 1987 - September 21, 1987
ENGLER-BUDD & COMPANY INC.
November 18, 1985 - May 19, 1987
THOMSON MCKINNON SECURITIES INC.
September 24, 1985 - November 21, 1985
SUTRO & CO. INCORPORATED
May 4, 1984 - September 27, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 14, 1983 - April 30, 1984
NEWHARD, COOK & CO. INCORPORATED
June 3, 1982 - December 1, 1983
RAUSCHER PIERCE REFSNES, INC.
December 15, 1981 - June 3, 1982
WEDBUSH SECURITIES INC.
May 12, 1980 - August 18, 1981
JEFFERIES EXECUTION SERVICES, INC.
November 19, 1979 - May 2, 1980
CITIGROUP GLOBAL MARKETS INC.
March 27, 1974 - November 19, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 55
Date: 10/13/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 3/26/1974
Registered Representative ExaminationSeries 12
Date: 3/20/1979
NYSE Branch Manager ExaminationCurrent Firm
R.W. TOWT & ASSOCIATES
CRD#: 128837 / SEC#: , 8-66182
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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