Richard L. Darr
Professional summary
Richard Lee Darr, who also goes by Richard Lee Darr Jr, Richard Lee Darr Jr., is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Lee Darr's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2022 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416March 2, 2021 - September 20, 2022
HOWARD CAPITAL MANAGEMENT, INC.
June 11, 2019 - November 30, 2020
CANTOR FITZGERALD & CO.
May 2, 2018 - November 30, 2020
CANTOR FITZGERALD INVESTMENT ADVISORS
January 12, 2015 - May 4, 2018
BEAUMONT FINANCIAL PARTNERS LLC
August 15, 2014 - October 3, 2014
ASSETMARK BROKERAGE, LLC
December 3, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
January 14, 2011 - October 7, 2014
ASSETMARK, INC.
January 10, 2011 - November 14, 2013
CAPITAL BROKERAGE CORPORATION
September 22, 2009 - November 26, 2010
QUASAR DISTRIBUTORS, LLC
August 7, 2009 - November 24, 2010
ENVESTNET PORTFOLIO SOLUTIONS, INC.
July 24, 2001 - May 20, 2002
GUARDIAN INVESTOR SERVICES LLC
November 28, 2000 - May 11, 2001
SUN LIFE FINANCIAL DISTRIBUTORS, 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
(11/11/2022)
(11/11/2022)
(11/11/2022)
(11/11/2022)
Exams
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationFINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
