Richard W. Anderton
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 Wayne Anderton was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 2 firms and has passed the Series 65, Series 66 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2023 - July 1, 2026
MY PROSPER TEAM
June 24, 2004 - December 1, 2005
WELLS FARGO INVESTMENTS, LLC
May 21, 2004 - December 1, 2005
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
MY PROSPER TEAM
CRD#: 311144 / SEC#: 801-119753
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
Current Firm
MY PROSPER TEAM
CRD#: 311144 / SEC#: 801-119753
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 435 |
| AUM (Assets Under Management) | $ 52,508,000 |
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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