RF
Richard E. Fengler
SIGNAL SECURITIES
Irving, TX 75062
Some features on this profile are disabled
CRD#: 2227456
RF
Professional summary
Richard Eugene Fengler JR, who also goes by Richard E Fengler, Rick Fengler, is a registered financial advisor currently at SIGNAL SECURITIES, INC. located in Irving, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard E Fengler | Rick Fengler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
HARBOR GROVE WATER SUPPLY
2/9/2006
NOT INVESTMENT RELATED
PO BOX 575 LAKE DALLS, TX 75065
PROVIDE WATER TO RESIDENTS OF THE HARBOR GROVE SUBDIVISION
PRESIDENT
6-10
1-5
PRESIDE OVER BOARD MEETINGS AND OVERSEE WORKERS
SELF- INSURANCE
1/19/2001
NOT INVESTMENT RELATED
2940 N. OCONNOR RD. STE 15�IRVING, TX 75062
SELL LIFE AND HEALTH INSURANCE
LICENSED AGENT
1-5
1-5
ASSIST CUSTOMERS WITH SELECTION LIFE OR HEALTH INSURANCE
SELF - BUYING AND SELLING INVEST PROP
5/31/2011
NOT INVESTMENT RELATED
513 HARBOR LANE�HICKORY CREEK, TX 75065
INVESTING IN DISTRESSED REAL ESTATE, RENOVATING, SELLING OR RENTING FOR PERSONAL FINANCIAL GAINS.
OWNER
1-5
1-5
INVESTING IN DISTRESSED REAL ESTATE, RENOVATING, SELLING OR RENTING FOR PERSONAL FINANCIAL GAINS.
WILLIAM B DRISCOLL CPA
1/16/1995
NOT INVESTMENT RELATED
2940 N OCONNOR RD STE 125 IRVING, TX 75062
TAX PREPARATION, DATA ENTRY
DATA ENTRY
1-5
21-40
INPUT TAX RETURNS
CRS (Client Relationship Summary) - RIA
Click below to view Richard Eugene Fengler JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Eugene Fengler JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 8, 2014 - Present
SIGNAL SECURITIES, INC.
Office #1: 2940 N. O'connor Road Suite 125, Irving, TX 75062Office #2: 2940 N. O'connor Rd. Ste. 125, Irving, TX 75062Office #3: 2940 N. O'connor Road Suite 125, Irving, TX 75062RIA
BD
CRD#: 15916
Irving, TX
Current
June 16, 1993 - Present
SIGNAL SECURITIES, INC.
Office #1: 2940 N. O'connor Road Suite 125, Irving, TX 75062RIA
BD
CRD#: 15916
Irving, TX
Past
April 26, 1993 - June 16, 1993
PIM FINANCIAL SERVICES, INC.
BD
CRD#: 10547
SAN MARCOS, CA
Past
April 13, 1992 - August 3, 1992
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Georgia(5/8/2020)
RR
Kansas(6/16/2025)
RR
Missouri(7/6/2017)
IAR
Missouri(10/19/2020)
RR
Oklahoma(5/22/2000)
RR
Texas(6/16/1993)
IAR
Texas(8/8/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
700 Throckmorton Street, Fort Worth, TX 76102
Mailing Address
700 Throckmorton Street, Fort Worth, TX 76102-5036
Phone number
(817) 877-4256
Established
Texas since 09/24/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (16 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
