Richard B. Cotter
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 Bruce Cotter Sr., who also goes by R Bruce Cotter, Richard Bruce Cotter, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, PC, 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
November 16, 2018 - September 7, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
March 26, 1999 - December 31, 2018
NORTHEAST SECURITIES, LLC
July 13, 1987 - June 2, 1988
1717 CAPITAL MANAGEMENT COMPANY
March 27, 1985 - April 2, 1999
BROADPOINT DESCAP
May 19, 1982 - October 1, 1983
MPG CAPITAL CORP.
May 18, 1982 - April 8, 1985
TIMECAPITAL SECURITIES CORPORATION
September 11, 1980 - October 1, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 4, 1971 - December 3, 1976
CONFERENCE CONSULTANTS, INC.
November 18, 1970 - October 3, 1980
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
September 3, 1970 - January 24, 1971
ROEBUCK FUNDS 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/13/1992
AMEX Put and Call ExamSeries 1
Date: 8/27/1970
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
