Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Richter is a financial advisor with over 20 years of experience in the financial services industry. Douglas is currently registered with Hennion & Walsh, Inc. Prior to joining Hennion & Walsh, Inc., Douglas was employed by Advisors Asset Management, Inc., Claymore Securities, Inc., DWS Scudder Distributors, Inc., and TD Waterhouse Investor Services, Inc.. Douglas has a wide range of experience and expertise in the financial services industry and is committed to providing his clients with the highest quality of service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NJ
05/14/2013 - Present
Hennion & Walsh, Inc. (PARSIPPANY NJ)
IL
02/17/2010 - 05/17/2013
ADVISORS ASSET MANAGEMENT, INC. (LISLE IL)
IL
03/01/2006 - 03/02/2010
CLAYMORE SECURITIES, INC. (CHICAGO IL)
IL
03/13/2002 - 03/01/2006
DWS SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)
NE
02/14/2001 - 08/15/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 03/24/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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