Richard L. Tolotti
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 L Tolotti JR., who also goes by Rich Tolotti, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2021 - November 9, 2021
TRANSITIONAL BROKER LLC
July 7, 2010 - October 10, 2019
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 8, 2010 - July 6, 2010
DIRECTED SERVICES LLC
April 17, 2007 - July 6, 2010
DIRECTED SERVICES LLC
April 4, 2006 - April 18, 2007
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 6, 2005 - July 22, 2005
CHASE INVESTMENT SERVICES CORP.
April 18, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 5, 2004 - April 14, 2005
ZIONS DIRECT, INC.
July 18, 2003 - October 7, 2004
WAMU INVESTMENTS, INC.
July 1, 2002 - July 25, 2003
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRANSITIONAL BROKER LLC
CRD#: 304313 / SEC#: , 8-70353
Contact information
FINRA licenses (28 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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