Richard P. Urfer
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 Peterson Urfer was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 5 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1988 - May 4, 1988
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
April 3, 1987 - April 7, 1988
CHASE SECURITIES (P.R.), INC.
November 18, 1982 - April 13, 1988
CHASE SECURITIES, INC.
May 2, 1973 - September 27, 1982
DEUTSCHE BANK CAPITAL CORPORATION
May 20, 1971 - July 4, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
CRD#: 20989 / SEC#: 801-38319, 8-38613
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 40
Date: 5/17/1971
Registered Principal ExaminationCurrent Firm
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
CRD#: 20989 / SEC#: 801-38319, 8-38613
Contact information
Regulatory assets under management
| Total Number of Accounts | 309 |
| AUM (Assets Under Management) | $ 21,797,801,078 |
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.
