Richard R. Singhaus
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 Ray Singhaus, CFP®, who also goes by Dick Singhaus, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 6 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
Start date: 2001
Experience
October 25, 2019 - August 8, 2023
AVANTAX ADVISORY SERVICES
October 25, 2019 - August 8, 2023
AVANTAX INVESTMENT SERVICES, INC.
December 19, 2005 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
December 7, 2005 - October 25, 2019
1ST GLOBAL ADVISORS INC
March 23, 2004 - December 31, 2005
FL FINANCIAL GROUP, L.L.C.
September 10, 2003 - December 31, 2003
LEGG MASON WOOD WALKER, INCORPORATED
July 30, 2003 - December 31, 2003
LEGG MASON WOOD WALKER, INCORPORATED
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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