Carl R. Wright
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.
Carl Richard Wright was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1967. Carl had worked at 12 firms and has passed the Series 63, SIE, Series 15, Series 5, PC, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2009 - May 8, 2017
FINANCIAL WEST GROUP
October 27, 2006 - February 12, 2009
RBC CAPITAL MARKETS, LLC
October 27, 2006 - February 12, 2009
RBC CAPITAL MARKETS, LLC
November 2, 1998 - November 1, 2006
MORGAN STANLEY DW INC.
October 22, 1993 - November 1, 2006
MORGAN STANLEY DW INC.
October 25, 1990 - October 27, 1993
WELLS FARGO CLEARING SERVICES, LLC
December 14, 1981 - October 18, 1990
J.P. MORGAN SECURITIES LLC
June 22, 1978 - January 6, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - June 30, 1978
MORGAN STANLEY DW INC.
April 22, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
November 17, 1976 - July 3, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
June 26, 1974 - November 8, 1974
HAYDEN STONE INC.
February 2, 1973 - August 2, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
August 15, 1967 - December 21, 1972
E. F. HUTTON & COMPANY 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 15
Date: 3/18/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 9/1/1979
AMEX Put and Call ExamSeries 1
Date: 8/14/1967
Registered Representative ExaminationSeries 12
Date: 2/19/1983
NYSE Branch Manager ExaminationSeries 40
Date: 10/30/1978
Registered Principal ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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