Richard T. Backoff
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 Toepel Backoff, who also goes by Richard T Backoff, Rick Backoff, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 4 firms and has passed the Series 65, Series 63, Series 22 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
March 4, 2010 - December 31, 2012
SPC
May 30, 1997 - December 31, 2012
SIGMA FINANCIAL CORPORATION
July 15, 1996 - June 17, 1997
TITAN/VALUE EQUITIES GROUP, INC.
August 6, 1993 - July 23, 1996
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
