Richard C. Wilt
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 Clifford Wilt JR, who also goes by Richard C Wilt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1964. Richard had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1999 - October 18, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - December 13, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 2, 1985 - April 1, 1998
BARNETT INVESTMENTS, INC.
January 21, 1983 - March 23, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 6, 1982 - March 10, 1983
LEHMAN BROTHERS INC.
October 16, 1981 - March 30, 1982
ROSS, STEBBINS INC.
July 22, 1981 - September 29, 1981
JOHN MUIR & CO.
December 8, 1976 - June 17, 1981
CIBC WORLD MARKETS CORP.
August 10, 1972 - January 30, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 13, 1972 - August 25, 1972
THOMSON MCKINNON SECURITIES INC.
February 15, 1967 - May 5, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 3, 1964 - September 24, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 1
Date: 12/19/1966
Registered Representative ExaminationCurrent Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
