Richard H. Blank
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 Harrod Blank JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 2 firms and has passed the Series 65, Series 63, Series 79TO, SIE, 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
September 19, 2005 - October 6, 2006
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
August 5, 1999 - December 26, 2023
STEPHENS
December 21, 1983 - December 26, 2023
STEPHENS
Primary Firm SEC Registration
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
CRD#: 136369 / SEC#: 801-64675
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
CRD#: 136369 / SEC#: 801-64675
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 7,637,388,860 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2025 | ||
| 02/07/2024 | ||
| 11/29/2022 |
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.
