Charles Henry Richter
Professional Summary
Charles Henry Richter, who also goes by Chuck Richter, was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 1988 - 2023. Charles had worked at 11 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 10, Series 9, Series 4, Series 53, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chuck Richter
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST NATIONAL BANK SOUTH DAKOTA INVESTMENTS AND PLANNING | SHELBY COUNTY INVESTMENT CENTER | PLATTE VALLEY INVESTMENTS AND PLANNING | FREMONT NATIONAL INVESTMENTS AND PLANNING | FIRST NATIONAL WEALTH MANAGEMENT | FIRST NATIONAL WEALTH ADVISORS | FIRST NATIONAL NORTH PLATTE INVESETMENTS AND PLANNING | FIRST NATIONAL INVESTMENTS & PLANNING | FIRST NATIONAL INVESTMENT BANKING | FIRST NATIONAL CAPITAL MARKETS, INC. | FIRST NATIONAL CAPITAL MARKETS
Contact Information
Established
Nebraska since 07/27/2001Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL INVESTMENT BANKING, INC. | DIRECT OWNER | — |
| RICHTER, CHARLES HENRY | CHIEF COMPLIANCE OFFICER | 1839310 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1988About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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