Douglas R. Richter
Professional summary
Douglas R Richter, who also goes by Doug Richter, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2001. Douglas has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas R Richter's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 14, 2013 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018February 17, 2010 - May 17, 2013
ADVISORS ASSET MANAGEMENT, INC.
February 17, 2010 - May 17, 2013
ADVISORS ASSET MANAGEMENT, INC.
March 27, 2006 - November 4, 2008
GUGGENHEIM INVESTMENTS
March 1, 2006 - March 2, 2010
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
March 13, 2002 - March 1, 2006
DWS DISTRIBUTORS, INC.
February 14, 2001 - August 15, 2001
TD AMERITRADE, 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
(5/14/2013)
(1/2/2025)
(1/4/2016)
(9/16/2015)
(9/16/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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