Richard J. Tyler
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 Joseph Tyler, who also goes by Dick Tyler, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 11 firms and has passed the Series 63, Series 7 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
March 27, 1992 - August 7, 1997
GILBERT MARSHALL & COMPANY
May 13, 1991 - January 3, 1992
KOBER FINANCIAL CORP.
February 16, 1988 - August 30, 1988
SCHNEIDER SECURITIES, INC.
November 2, 1987 - October 4, 1988
V.I.P. FINANCIAL COMPANIES
January 13, 1986 - May 12, 1987
DAIN RAUSCHER INCORPORATED
July 12, 1985 - January 1, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
June 17, 1985 - June 24, 1985
TAMARON INVESTMENTS, INC.
October 24, 1983 - June 7, 1985
PRESTIGE INVESTORS, INC.
November 4, 1981 - October 14, 1983
VANTAGE SECURITIES OF COLORADO, INC.
February 1, 1977 - October 2, 1981
FIRST FINANCIAL SECURITIES, INC.
May 22, 1975 - March 3, 1977
PITTMAN & COMPANY, INCORPORATED
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
GILBERT MARSHALL & COMPANY
CRD#: 13954 / SEC#: , 8-30071
Contact information
Documents
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.
