Richard D. Brandhorst
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 Duane Brandhorst was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - December 31, 2017
SIGNATOR INVESTORS, INC.
May 13, 2016 - December 31, 2017
SIGNATOR INVESTORS, INC.
July 26, 2012 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 26, 2012 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 21, 2009 - July 30, 2012
FSB PREMIER WEALTH MANAGEMENT, INC.
October 21, 2009 - July 30, 2012
FSB PREMIER WEALTH MANAGEMENT, INC.
March 15, 1999 - December 21, 2009
BRANDHORST, RICHARD D.
January 1, 1999 - October 16, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 8, 1998 - October 16, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 29, 1990 - March 19, 1998
AEGON USA SECURITIES INC.
April 4, 1988 - November 29, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 9, 1983 - April 5, 1988
LPL FINANCIAL LLC
May 11, 1983 - December 1, 1983
LEHMAN BROTHERS INC.
December 11, 1981 - April 28, 1983
DAIN RAUSCHER 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
Current Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
Red Flags
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