Richard W. Greene
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 Greene was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2012 - May 28, 2015
DETWILER FENTON WEALTH MANAGEMENT INC
August 2, 2011 - March 9, 2017
CENTERPOINT ADVISORS, LLC
January 30, 2006 - September 20, 2011
B. RILEY WEALTH ADVISORS, INC.
January 27, 2006 - December 7, 2012
NATIONAL SECURITIES CORPORATION
February 18, 2005 - February 1, 2006
ADVEST, INC.
November 4, 2003 - February 25, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - February 25, 2005
RBC CAPITAL MARKETS, LLC
June 10, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 11, 1993 - June 11, 1999
CIBC WORLD MARKETS CORP.
July 31, 1993 - September 13, 1993
CITIGROUP GLOBAL MARKETS INC.
January 3, 1980 - July 31, 1993
LEHMAN BROTHERS INC.
September 26, 1978 - January 31, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 1/21/1980
AMEX Put and Call ExamCurrent Firm
DETWILER FENTON WEALTH MANAGEMENT INC
CRD#: 16063 / SEC#: , 8-33312
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
