Richard T. Topps
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 Thomas Topps SR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2014 - June 16, 2022
BOLMGREN RETIREPLAN, INC.
August 6, 2002 - January 23, 2014
FIRST MIDWEST SECURITIES, INC.
August 5, 2002 - January 23, 2014
FIRST MIDWEST SECURITIES, INC.
May 15, 2002 - August 9, 2002
STONEX SECURITIES INC.
May 26, 1999 - May 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
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
BOLMGREN RETIREPLAN, INC.
CRD#: 166560 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 120 |
| AUM (Assets Under Management) | $ 35,839,842 |
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.
