Richard T. Salter
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 Thomas Salter, who also goes by Dick Salter, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 2, PC, Series 7, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2010 - December 31, 2023
MOLONEY SECURITIES CO., INC.
February 29, 2000 - December 31, 2009
WASSERMAN & ASSOCIATES, INC.
July 22, 1991 - December 31, 1999
THOS. K. WASSERMAN & ASSOCIATES, INC.
December 21, 1987 - August 8, 1991
MORGAN STANLEY DW INC.
October 26, 1976 - January 14, 1988
E. F. HUTTON & COMPANY INC
August 27, 1976 - December 17, 1976
BACHE HALSEY STUART INC
June 2, 1975 - August 27, 1976
BACHE & CO 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
Series 2
Date: 11/15/1995
Non-Member General Securities ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 12
Date: 8/6/1979
NYSE Branch Manager ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
