Richard Weeks is a registered investment advisor, based in Delray Beach, FL, with 32 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Delray Beach, FL
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Regulatory History (3)
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Customer Dispute
April 2021Settled
Customer Dispute
March 2008Settled
Customer Dispute
March 2003Denied
Employment History
Current Registrations
Hightower Securities, LLC
July 2011 - Present · 15 yrs 3 mos
Hightower Advisors, LLC
July 2011 - Present · 15 yrs 3 mos
Hightower Securities, LLCBroker
July 2011 - Present · 15 yrs 3 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - July 2011 · 2 yrs 1 mo
Morgan Stanley Smith BarneyBroker
June 2009 - July 2011 · 2 yrs 1 mo
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 2001 - April 2007 · 6 yrs 2 mos
Morgan Stanley Dw INC.Broker
February 2001 - April 2007 · 6 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
May 1994 - February 2001 · 6 yrs 9 mos
State Registrations6 states
CTDCFLMDTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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