RR
Richard E. Rath
INVESCO DISTRIBUTORS
Davidson, NC
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CRD#: 2704901
RR
Professional summary
Richard Edward Rath is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Davidson, North Carolina.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Rath's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 25, 2019 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
Davidson, NC
Past
July 1, 2004 - December 19, 2005
OFI PRIVATE INVESTMENTS INC
RIA
CRD#: 107807
NEW YORK, NY
Past
April 21, 2004 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
November 29, 1999 - April 12, 2004
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
June 15, 1998 - November 1, 1999
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
November 21, 1996 - April 30, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
July 23, 1996 - October 11, 1996
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(1/23/2023)
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Alaska(1/23/2023)
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Arizona(1/23/2023)
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Arkansas(1/23/2023)
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California(1/23/2023)
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Colorado(1/23/2023)
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Connecticut(1/23/2023)
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Delaware(1/23/2023)
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District of Columbia(5/25/2019)
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Florida(1/23/2023)
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Georgia(1/23/2023)
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Hawaii(1/23/2023)
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Idaho(1/23/2023)
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Illinois(1/23/2023)
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Indiana(1/23/2023)
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Iowa(1/23/2023)
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Kansas(1/23/2023)
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Kentucky(1/23/2023)
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Louisiana(1/23/2023)
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Maine(1/23/2023)
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Maryland(5/25/2019)
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Massachusetts(1/23/2023)
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Michigan(1/23/2023)
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Minnesota(1/23/2023)
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Mississippi(1/23/2023)
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Missouri(1/23/2023)
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Montana(1/23/2023)
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Nebraska(1/23/2023)
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Nevada(1/23/2023)
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New Hampshire(1/23/2023)
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New Jersey(1/23/2023)
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New Mexico(1/23/2023)
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New York(1/23/2023)
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North Carolina(12/21/2020)
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North Dakota(1/23/2023)
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Ohio(1/23/2023)
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Oklahoma(1/23/2023)
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Oregon(1/23/2023)
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Pennsylvania(1/23/2023)
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Puerto Rico(1/23/2023)
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Rhode Island(1/23/2023)
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South Carolina(1/23/2023)
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South Dakota(1/23/2023)
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Tennessee(1/23/2023)
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Texas(1/23/2023)
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Utah(1/23/2023)
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Vermont(1/23/2023)
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Virgin Islands(1/23/2023)
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Virginia(5/25/2019)
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Washington(1/23/2023)
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West Virginia(1/23/2023)
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Wisconsin(1/23/2023)
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Wyoming(1/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
