Dawna L. Richter
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.
Dawna Lynne Richter, who also goes by Danna Richter Holdchuck, was a registered financial professional .
Dawna is a previously registered financial professional and started their career in finance in 2014. Dawna had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 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
February 7, 2019 - October 16, 2019
ALDEN CAPITAL
August 7, 2018 - October 16, 2019
J. ALDEN ASSOCIATES, INC.
September 21, 2017 - March 15, 2018
BOK FINANCIAL SECURITIES, INC.
September 21, 2017 - March 15, 2018
BOK FINANCIAL SECURITIES, INC.
April 7, 2015 - September 28, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 23, 2014 - September 28, 2017
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
ALDEN CAPITAL
CRD#: 293551 / SEC#: 801-116941
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
ALDEN CAPITAL
CRD#: 293551 / SEC#: 801-116941
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 1,444,147,688 |
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.
