Nancy L. 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.
Nancy L Richter, who also goes by Nancy L Snapp, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1993. Nancy had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 14, Series 10, Series 4, Series 53 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 22, 2004 - December 31, 2024
CUTTER & COMPANY, INC.
March 22, 2004 - December 31, 2024
CUTTER & COMPANY, INC.
December 1, 2003 - March 16, 2004
FFP SECURITIES, INC.
January 27, 2003 - November 24, 2003
CUTTER & COMPANY, INC.
January 27, 2003 - November 24, 2003
CUTTER & COMPANY, INC.
December 6, 2001 - January 6, 2003
STIFEL INDEPENDENT ADVISORS, LLC
December 20, 1993 - January 6, 2003
STIFEL INDEPENDENT ADVISORS, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/24/2003
Limited Representative-Equity Trader ExamCurrent Firm
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
