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RS

Richard S. Strong

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CRD#: 1465578
RS

Professional summary

Richard Stuart Strong was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Richard had worked at 2 firms, which includes STRONG INVESTMENTS INC., STRONG CAPITAL MANAGEMENT INC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 16, 2001 - December 8, 2003

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI
Past

December 6, 1993 - December 8, 2003

STRONG CAPITAL MANAGEMENT INC

RIA
CRD#: 106638
MENOMONEE FALLS, WI

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
RR
Series 63
Date: 5/21/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/7/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2001
General Securities Principal Examination

Current Firm

SI
STRONG INVESTMENTS, INC.
STRONG FUNDS DISTRIBUTORS, INC. | STRONG/CORNELIUSON CAPITAL MANAGEMENT,INC. | STRONG INVESTMENTS, INC.

CRD#: 15658 / SEC#: , 8-32608

BD
Terminated by SEC on 05/31/2005
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 09/21/1993
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STRONG FINANCIAL CORPORATIONSHAREHOLDER
KOENIG, CHAD ALLENCHIEF FINANCIAL OFFICER, SECRETARY AND TREASURER4179864
RUSSART, DANA JOPRESIDENT AND CHIEF COMPLIANCE OFFICER2119345

Disclosures

Regulatory Event3
Civil Event1
Arbitration1

Red Flags

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Company Information

STRONG INVESTMENTS, INC.

CRD#: 15658

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