Richard H. Bangston

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CRD#: 1358505

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 Harley Bangston, who also goes by Dick Bangston, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dick Bangston

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 3, 2013 - November 22, 2013

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

April 4, 2008 - August 29, 2013

SMITH HAYES ADVISERS INC

RIA

CRD#: 110776

OMAHA, NE

Past

March 27, 2008 - August 29, 2013

SMITH HAYES FINANCIAL SERVICES CORPORATION

CRD#: 17059

OMAHA, NE

Past

April 3, 2006 - October 3, 2007

D.A. DAVIDSON & CO.

RIA

CRD#: 199

OMAHA, NE

Past

March 17, 2006 - October 3, 2007

D.A. DAVIDSON & CO.

CRD#: 199

OMAHA, NE

Past

June 24, 2005 - March 30, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

OMAHA, NE

Past

April 29, 2005 - March 30, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 24, 1991 - January 6, 2004

SPECTRUM CAPITAL, LLC

CRD#: 28303

OMAHA, NE

Past

May 10, 1991 - October 3, 1991

SECURITIES RESOLUTION CORPORATION

CRD#: 7119

MINNEAPOLIS, MN

Past

September 7, 1989 - May 18, 1990

DOUGHERTY DAWKINS LLC

CRD#: 7442

MINNEAPOLIS, MN

Past

May 2, 1989 - May 14, 1990

ALLIED GROUP SECURITIES CORPORATION

CRD#: 3638

Past

January 24, 1986 - August 23, 1988

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/23/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 1/17/1981

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/30/1982

Municipal Securities Principal Examination

Current Firm

VINING-SPARKS IBG, LLC

VINING SPARKS | VINING-SPARKS INVESTMENT BANKERS GROUP, L. P. | VINING-SPARKS IBG, LLC | VINING-SPARKS IBG, LIMITED PARTNERSHIP

CRD#: 27502 / SEC#: , 8-43150

Terminated by SEC on 11/26/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 10/27/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
COLEMAN, KAREN SUE	PRINCIPAL FINANCIAL OFFICER	1485120
GLADNEY, HAROLD LAMAR	CHIEF COMPLIANCE OFFICER AND PRINCIPAL OPERATIONS OFFICER	1189322
MEDFORD, MARK ANTHONY	PRESIDENT/CEO/CHAIRMAN	5582726
SHEA, MARTIN FLANAGAN JR.	EVP & GENERAL COUNSEL	4697655

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Richard H. Bangston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMITH HAYES ADVISERS INC

SMITH HAYES FINANCIAL SERVICES CORPORATION

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

SPECTRUM CAPITAL, LLC

SECURITIES RESOLUTION CORPORATION

DOUGHERTY DAWKINS LLC

ALLIED GROUP SECURITIES CORPORATION

WELLS FARGO BROKERAGE SERVICES, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/23/2005

Series 63

Date: 5/4/1985

Series 7

Date: 7/19/1986

Series 52

Date: 1/17/1981

Series 24

Date: 2/23/1987

Series 53

Date: 12/30/1982

Current Firm

VINING-SPARKS IBG, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VINING-SPARKS IBG, LLC

TRUST BUT VERIFY

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