Richard G. Abend
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 Gary Abend, who also goes by Richard G Abend, Rick Abend, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 4 firms and has passed the Series 65, Series 63 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
November 26, 2018 - January 2, 2024
DINERGY
August 21, 2015 - September 28, 2018
HORTER INVESTMENT MANAGEMENT, LLC
May 11, 2006 - June 6, 2007
SUMMIT FINANCIAL GROUP INC
March 31, 2006 - June 6, 2007
SUMMIT BROKERAGE SERVICES, INC.
August 7, 2003 - December 31, 2004
SUMMIT BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINERGY
CRD#: 286403 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 154 |
| AUM (Assets Under Management) | $ 23,128,000 |
Red Flags
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