Richard P. Junker
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 Parke Junker, who also goes by Dick Junker, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 6 firms and has passed the Series 63, SIE 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
June 13, 2022 - March 29, 2023
CONFLUENCE FINANCIAL PARTNERS
June 9, 2011 - June 28, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 9, 2011 - June 28, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 27, 2011 - June 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1993 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 3, 1987 - February 10, 1993
LEGG MASON WOOD WALKER, INCORPORATED
April 29, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
Primary Firm SEC Registration
CONFLUENCE FINANCIAL PARTNERS
CRD#: 311980 / SEC#: 801-120711
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
CONFLUENCE FINANCIAL PARTNERS
CRD#: 311980 / SEC#: 801-120711
Contact information
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,924 |
| AUM (Assets Under Management) | $ 5,454,175,362 |
Red Flags
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