Richard W. Zuhlke
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 William Zuhlke was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 5 firms and has passed the Series 63, SIE 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
January 7, 1997 - December 31, 2017
BLACK OAK SECURITIES, INC.
June 1, 1996 - December 12, 1996
WALNUT STREET SECURITIES, INC.
March 20, 1996 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
June 11, 1992 - March 21, 1996
INVESTMENT PLANNERS, INC.
September 30, 1988 - June 13, 1992
PFS INVESTMENTS 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
Current Firm
BLACK OAK SECURITIES, INC.
CRD#: 30889 / SEC#: , 8-45219
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROSS, DWAN N | PRESIDENT & CHIEF COMPLIANCE OFFICER | 5985005 |
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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