Richard J. Aneser
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 John Aneser, who also goes by Richard Aneser, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2023 - September 6, 2024
ENVESTNET SECURITIES, INC.
February 17, 2012 - December 31, 2017
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 26, 2010 - March 6, 2012
UBS FINANCIAL SERVICES INC.
March 26, 2010 - March 6, 2012
UBS FINANCIAL SERVICES INC.
April 8, 2005 - October 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2003 - October 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 1999 - April 26, 2002
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
ENVESTNET SECURITIES, INC.
CRD#: 325803 / SEC#: , 8-71093
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
