Richard P. Busher
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 Paul Busher, who also goes by Richard Busher, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 1, 2014 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 15, 2010 - April 3, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
December 15, 2010 - April 3, 2012
ALLSTATE FINANCIAL SERVICES, LLC
March 10, 2009 - June 1, 2009
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
April 17, 2008 - June 1, 2009
TRANSAMERICA CAPITAL, LLC
April 25, 2007 - May 18, 2007
COREBRIDGE CAPITAL SERVICES, INC.
January 24, 2003 - June 22, 2006
GUGGENHEIM DISTRIBUTORS, LLC
April 26, 2000 - November 18, 2002
FUNDS DISTRIBUTOR, LLC
December 9, 1999 - April 25, 2000
LPM INVESTMENT SERVICES, INC
March 3, 1998 - November 23, 1999
NATIXIS DISTRIBUTION, LLC
July 15, 1997 - February 12, 1998
COREBRIDGE CAPITAL SERVICES, INC.
March 30, 1995 - July 15, 1997
SUNAMERICA SECURITIES, INC.
March 28, 1991 - December 16, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 1, 1988 - April 8, 1991
GUARDIAN INVESTOR SERVICES LLC
August 27, 1985 - December 15, 1987
VP DISTRIBUTORS LLC
April 26, 1983 - August 19, 1985
NPC SECURITIES, INC.
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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
