Charles H. Richter
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.
Charles Henry Richter, who also goes by Chuck Richter, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1988. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2018 - December 22, 2023
FIRST NATIONAL CAPITAL MARKETS
November 8, 2004 - November 7, 2017
FENIMORE SECURITIES, INC.
June 18, 2004 - December 17, 2004
SMITH HAYES FINANCIAL SERVICES CORPORATION
March 12, 2000 - June 21, 2004
MANARIN INVESTMENT COUNSEL LTD
April 21, 1995 - December 1, 2004
KUEHL CAPITAL CORPORATION
March 2, 1995 - June 30, 2004
MANARIN SECURITIES CORPORATION
July 23, 1991 - November 23, 1998
QA3 FINANCIAL CORP.
October 31, 1989 - July 23, 1991
WWK INVESTMENTS, INC.
December 19, 1988 - October 23, 1989
DICKINSON & CO.
July 25, 1988 - December 21, 1988
METROPOLITAN LIFE INSURANCE COMPANY
July 25, 1988 - December 21, 1988
MSI FINANCIAL SERVICES, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIRST NATIONAL CAPITAL MARKETS
CRD#: 115920 / SEC#: 801-71101, 8-53514
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL INVESTMENT BANKING, INC. | DIRECT OWNER | |
| RICHTER, CHARLES HENRY | CHIEF COMPLIANCE OFFICER | 1839310 |
Disclosures
| Regulatory Event | 2 |
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.
