Richard L. Crusius
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 L Crusius, who also goes by Richard Lloyd Crusius, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 9 firms and has passed the Series 63, Series 72, SIE, Series 7, Series 6 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
March 9, 2021 - December 31, 2022
NTB FINANCIAL CORPORATION
July 11, 2013 - April 13, 2021
WILLIAM C. BURNSIDE & COMPANY, INC.
March 22, 2012 - July 12, 2013
MOMENTUM INDEPENDENT NETWORK INC.
January 15, 1997 - March 19, 2012
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
November 29, 1994 - December 31, 1995
TD AMERITRADE CLEARING, INC.
August 12, 1994 - January 20, 1997
FFG INVESTMENTS INC.
March 10, 1993 - August 16, 1994
LCL INVESTMENTS, INC.
February 5, 1991 - March 15, 1993
NATCITY INSURANCE SERVICES, INC.
May 9, 1988 - January 9, 1990
NEW ENGLAND SECURITIES
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 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| 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.
