Richard A. Weitzenhoffer
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 Alan Weitzenhoffer, who also goes by Dick Weitzenhoffer, Richard Alan Weitzenhoffer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2016 - January 31, 2018
KESTRA ADVISORY SERVICES, LLC
February 5, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 29, 2016 - January 31, 2018
KESTRA INVESTMENT SERVICES, LLC
June 5, 2015 - March 2, 2016
INVESTACORP ADVISORY SERVICES INC
May 28, 2015 - March 2, 2016
INVESTACORP, INC.
July 17, 2009 - May 18, 2015
COMMONWEALTH FINANCIAL NETWORK
July 17, 2009 - May 18, 2015
COMMONWEALTH FINANCIAL NETWORK
February 27, 2003 - July 20, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 16, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 16, 2001 - July 20, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
