Richard A. Weinberg
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 Alan Weinberg was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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
August 31, 2017 - October 8, 2019
AE WEALTH MANAGEMENT, LLC
July 31, 2007 - November 27, 2007
GRAND CAPITAL CORP.
July 1, 2003 - June 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 20, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1982 - September 15, 1994
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
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