Richard H. Dygve
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 Harry Dygve was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2011 - October 3, 2012
FINANCIAL TELESIS INC
November 29, 1996 - October 11, 2011
TOWER SQUARE SECURITIES, INC.
September 10, 1994 - November 27, 1996
ADVANTAGE CAPITAL CORPORATION
November 4, 1971 - October 24, 1994
TOWER SQUARE SECURITIES, 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 1
Date: 10/31/1971
Registered Representative ExaminationCurrent Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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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