Richard A. Mahler
Professional summary
Richard Albert Mahler JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Richard had worked at 6 firms, which includes INVEST FINANCIAL CORPORATION, EQUITABLE ADVISORS LLC, OSAIC FA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, THRIVENT INVESTMENT MANAGEMENT INC., LUTHERAN BROTHERHOOD SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2009 - April 27, 2012
INVEST FINANCIAL CORPORATION
July 17, 2009 - April 27, 2012
INVEST FINANCIAL CORPORATION
March 28, 2006 - May 16, 2006
EQUITABLE ADVISORS, LLC
March 28, 2006 - June 24, 2009
EQUITABLE ADVISORS, LLC
February 13, 2006 - March 30, 2006
OSAIC FA, INC.
January 15, 2003 - March 30, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 15, 2003 - March 30, 2006
OSAIC FA, INC.
July 1, 2002 - January 7, 2003
THRIVENT INVESTMENT MANAGEMENT INC.
October 13, 1992 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
