Richard K. Bieglmeier
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 K Bieglmeier was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 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 10, 2004 - June 5, 2015
ZACKS INVESTMENT MANAGEMENT, INC.
March 10, 2004 - June 8, 2004
LBMZ SECURITIES, INC.
August 13, 2003 - December 16, 2003
CITICORP INVESTMENT SERVICES
August 7, 2003 - December 16, 2003
CITICORP INVESTMENT SERVICES
November 22, 2002 - August 7, 2003
QUICK & REILLY, INC.
June 13, 2002 - August 7, 2003
QUICK & REILLY, INC.
May 5, 1999 - June 14, 2002
MORGAN STANLEY DW INC.
October 27, 1998 - June 14, 2002
MORGAN STANLEY DW INC.
October 12, 1998 - October 23, 1998
MORGAN STANLEY DW INC.
August 3, 1994 - October 14, 1998
JOHN DAWSON & ASSOCIATES, INC.
January 1, 1992 - August 3, 1994
HAMILTON INVESTMENTS, INC.
May 8, 1991 - December 18, 1991
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
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
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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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