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Richard A. Hennig

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CRD#: 243151
RH

Professional summary

Richard Arthur Hennig 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 professional and started their career in finance in 1968. Prior to being barred, Richard had worked at 11 firms, which includes CAPBAY FINANCIAL SERVICES, INDEPENDENT FINANCIAL GROUP LLC, ROTH CAPITAL PARTNERS LLC, WELLS FARGO SECURITIES LLC, DAKIN SECURITIES CORPORATION, FINANCIAL WEST GROUP, COOPER-DAHER SECURITIES INC., DREYFUS BROKERAGE SERVICES INC., BATEMAN EICHLER HILL RICHARDS INCORPORATED, DEUTSCHE IXE LLC, BWA INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard A Hennig

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 18, 1996 - February 23, 2001

CAPBAY FINANCIAL SERVICES

BD
CRD#: 32395
ROSEVILLE, CA
Past

August 6, 1996 - November 4, 1996

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
SAN DIEGO, CA
Past

June 3, 1996 - August 5, 1996

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

March 20, 1992 - March 6, 1996

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

October 17, 1990 - June 28, 1991

DAKIN SECURITIES CORPORATION

BD
CRD#: 6142
SAN FRANCISCO, CA
Past

December 8, 1989 - September 4, 1990

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

May 2, 1989 - September 1, 1989

COOPER-DAHER SECURITIES, INC.

BD
CRD#: 21375
Past

July 31, 1987 - March 19, 1988

DREYFUS BROKERAGE SERVICES, INC.

BD
CRD#: 7289
Past

March 6, 1985 - June 16, 1987

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

August 6, 1984 - January 21, 1985

DEUTSCHE IXE, LLC

BD
CRD#: 7172
Past

July 1, 1976 - June 7, 1984

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

June 27, 1968 - June 21, 1973

BWA INC

BD
CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 9/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/19/1976
General Securities Representative Examination

Current Firm

CF
CAPBAY FINANCIAL SERVICES
CAPBAY FINANCIAL SERVICES | S. KIRCHER & COMPANY | KIRCHER & COMPANY, INC. | CAPITOL BAY SECURITIES, INC.

CRD#: 32395 / SEC#: , 8-45697

BD
Terminated by SEC on 04/24/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/16/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITOL BAY GROUPPARENT COMPANY
ARCHBOLD, GUY ALLANPRESIDENT824230
KIRCHER, STEPHEN CHARLESCHIEF EXECUTIVE OFFICER823868
MCCARGAR, ELIZABETH ANNCHIEF FINANCIAL OFFICER2347346

Disclosures

Regulatory Event3
Arbitration1

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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Company Information

CAPBAY FINANCIAL SERVICES

CRD#: 32395

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