Richard Freitag
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 Freitag, who also goes by Dick Freitag, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
January 1, 2007 - July 29, 2025
WORLD INVESTMENTS, LLC
March 8, 2005 - July 29, 2025
WORLD INVESTMENTS, LLC
January 1, 2004 - March 4, 2005
CETERA FINANCIAL SPECIALISTS LLC
December 20, 2001 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
March 14, 2000 - December 11, 2000
NATIONAL PLANNING CORPORATION
January 12, 2000 - January 21, 2000
VESTAX SECURITIES CORPORATION
August 26, 1996 - February 10, 1998
GUARDIAN INVESTOR SERVICES LLC
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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
