Richard L. Wottrich
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 Lynn Wottrich was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 8 firms and has passed the Series 63, Series 62, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2013 - October 1, 2013
MCLEAN SECURITIES, LLC
March 4, 2011 - October 10, 2012
MCLEAN SECURITIES, LLC
June 12, 1989 - December 31, 1990
DERAND/PENNINGTON/BASS, INC.
October 28, 1986 - June 15, 1989
DESIGN STRATEGIES, INC.
September 22, 1986 - October 6, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 18, 1986 - August 26, 1986
GUARDIAN INVESTOR SERVICES LLC
September 15, 1977 - March 21, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
September 11, 1976 - August 12, 1977
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 1, 1974 - September 19, 1977
JOHN HANCOCK DISTRIBUTORS LLC
August 7, 1973 - October 30, 1974
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 62
Date: 4/21/2010
Corporate Securities Limited Representative ExaminationSeries 1
Date: 8/2/1973
Registered Representative ExaminationCurrent Firm
MCLEAN SECURITIES, LLC
CRD#: 104117 / SEC#: , 8-52565
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE MCLEAN GROUP, LLC | PARENT | |
| MARTIN, MITCHELL ZACHARY | CCO | 4993937 |
| SMITH, ANDREW CLIFFORD | FINOP |
Disclosures
| Regulatory Event | 1 |
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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