Richard A. Lange
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 Anthony Lange, who also goes by Rick Lange, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2018 - June 28, 2018
COMERICA SECURITIES
January 5, 2018 - June 28, 2018
COMERICA SECURITIES
June 14, 2017 - August 21, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
June 19, 2015 - January 13, 2017
NORTHERN TRUST SECURITIES, INC.
March 20, 2015 - June 12, 2015
LPL FINANCIAL LLC
March 20, 2015 - June 12, 2015
LPL FINANCIAL LLC
April 1, 2014 - March 23, 2015
ZIONS DIRECT, INC.
February 5, 2014 - March 23, 2015
ZIONS CAPITAL ADVISORS, INC.
November 14, 2013 - January 31, 2014
NMS CAPITAL SECURITIES, LLC
March 1, 2011 - December 22, 2011
VIEWPOINT SECURITIES, LLC
August 31, 2010 - March 4, 2011
COLUMBIA CAPITAL SECURITIES, INC.
March 12, 2009 - September 1, 2010
WORLD EQUITY GROUP, INC.
March 19, 2004 - December 3, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 2002 - October 14, 2002
INDEPENDENT FINANCIAL GROUP, LLC
March 18, 2002 - April 18, 2002
THE SEIDLER COMPANIES INCORPORATED
October 18, 2001 - March 27, 2002
FINANCIAL WEST GROUP
May 8, 2000 - June 16, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 20, 2000 - April 6, 2000
ROCKBRIDGE SECURITIES, INC.
June 8, 1999 - April 3, 2000
IRVINE SECURITIES, INC.
November 15, 1996 - April 30, 1999
CITICORP INVESTMENT SERVICES
November 21, 1994 - November 7, 1996
MORGAN STANLEY DW 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
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
