Alphonsus R. Panzera
Professional summary
Alphonsus Richard Panzera III, who also goes by Alphonsus Richard Panzera, Ric Panzera III, is a registered financial advisor currently at CORPORATE & INSTITUTIONAL SERVICES, LLC located in Bedford, Texas and POLAR INVESTMENT COUNSEL, INC. located in Bedford, Texas.
Alphonsus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Alphonsus has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 50, PC, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alphonsus Richard Panzera III's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2022 - Present
CORPORATE & INSTITUTIONAL SERVICES, LLC
April 27, 2022 - Present
POLAR INVESTMENT COUNSEL, INC.
February 16, 2012 - March 31, 2022
FFEC WEALTH PARTNERS LLC
January 31, 2012 - March 31, 2022
FFEC WEALTH PARTNERS LLC
June 8, 2009 - December 31, 2011
SANDERS MORRIS LLC
June 8, 2009 - December 31, 2011
SANDERS MORRIS LLC
April 26, 2006 - May 19, 2009
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
January 18, 1996 - May 19, 2009
FIRST SOUTHWEST COMPANY, LLC
October 1, 1982 - January 11, 1996
J.P. MORGAN SECURITIES LLC
September 16, 1977 - October 13, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 3, 1972 - February 27, 1976
BACHE & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/2022)
(4/27/2022)
(7/26/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 5/1/1972
Registered Representative ExaminationFINRA
Current Firm
CORPORATE & INSTITUTIONAL SERVICES, LLC
CRD#: 322177 / SEC#:
Contact information
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.
