Richard D. Schulenberg
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 Donald Schulenberg was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 4 firms and has passed the Series 63, Series 41, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 1975 - December 31, 1997
BAKER & CO., INCORPORATED
February 25, 1974 - June 30, 1975
DALEY & COMPANY
November 30, 1973 - March 4, 1974
BAKER & CO., INCORPORATED
June 23, 1971 - December 28, 1973
M. S. WIEN & CO., INC.
November 25, 1970 - July 28, 1971
PRESCOTT, BALL & TURBEN
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
Series 41
Date: 1/5/1984
NYSE Allied Member ExaminationSeries 1
Date: 9/19/1961
Registered Representative ExaminationSeries 00
Date: 11/1/1975
General Securities Principal ExaminationCurrent Firm
BAKER & CO., INCORPORATED
CRD#: 5835 / SEC#: 801-67585, 8-16555
Contact information
Regulatory assets under management
| Total Number of Accounts | 67 |
| AUM (Assets Under Management) | $ 64,200,000 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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