RICHARD CARL WERNICK

RICHARD CARL WERNICK is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 5780 WINDWARD PKWY, SUITE 330, ALPHARETTA, GA, 30005.

RICHARD CARL WERNICK has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since January 06, 2012

Disclosure History

RICHARD CARL WERNICK has 6 Disclosure Event(s).

Date: December 31, 2011
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: February 25, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 25, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 25, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: March 01, 2010
Category: Financial
Type: SHORT SALE
Disposition: Satisfied/Released

Date: December 30, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: ATTACHED ARE TWO NOTES TOTALING $500,000 EVIDENCING THE COMPROMISE SETTLEMENT.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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