Douglas R. Richter

HENNION & WALSH

Parsippany, NJ 07054-1018

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CRD#: 4277283

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

Are you a "fiduciary"?

Aliases

Doug Richter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas R Richter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 14, 2013 - Present

HENNION & WALSH, INC.

Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

CRD#: 25766

Parsippany, NJ

Past

February 17, 2010 - May 17, 2013

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

LISLE, IL

Past

February 17, 2010 - May 17, 2013

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

LISLE, IL

Past

March 27, 2006 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

March 1, 2006 - March 2, 2010

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

March 13, 2002 - March 1, 2006

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

February 14, 2001 - August 15, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(5/14/2013)

Indiana
(1/2/2025)

Michigan
(1/4/2016)

Missouri
(9/16/2015)

Wisconsin
(9/16/2015)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HENNION & WALSH, INC.

HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.

CRD#: 25766 / SEC#: , 8-41988

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

Mailing Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

Phone number

(973) 299-8989

Established

New Jersey since 10/24/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Firm Stability Insights

Douglas R. Richter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas R Richter's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

DWS DISTRIBUTORS, INC.

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2006

Series 63

Date: 1/30/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2000

FINRA

Current Firm

HENNION & WALSH, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HENNION & WALSH, INC.

TRUST BUT VERIFY

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