Richard T. Wyler
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 Troy Wyler, who also goes by Dick Wyler, Richard T Wyler, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC 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
July 16, 1999 - September 14, 2021
CAPITOL SECURITIES MANAGEMENT, INC.
June 17, 1999 - September 14, 2021
CAPITOL SECURITIES MANAGEMENT, INC.
June 7, 1995 - June 11, 1999
MORGAN STANLEY DW INC.
April 11, 1992 - June 19, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 14, 1984 - April 2, 1992
KIDDER, PEABODY & CO. INCORPORATED
May 31, 1977 - February 2, 1984
ALEX. BROWN & SONS INCORPORATED
March 13, 1975 - July 18, 1977
E. F. HUTTON & COMPANY INC
July 1, 1969 - March 20, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 6/27/1969
Registered Representative ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
