Richard H. Bauzenberger
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 Hutchinson Bauzenberger was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 1997 - April 9, 1998
FIRST MIDWEST SECURITIES, INC.
February 15, 1994 - December 23, 1996
M&I FINANCIAL ADVISORS, INC
July 13, 1990 - November 1, 1991
BANC ONE SECURITIES CORPORATION
July 9, 1988 - July 13, 1990
BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION
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
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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