Richard E. Pentz
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 Edward Pentz, who also goes by Richard Pentz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 5 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
January 16, 2013 - July 28, 2025
PRINCIPAL FUNDS DISTRIBUTOR, INC.
January 5, 2010 - January 4, 2013
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - January 4, 2013
DELAWARE DISTRIBUTORS, L.P.
October 2, 2008 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 3, 2007 - October 1, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 3, 2007 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 18, 2005 - October 30, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2005 - October 30, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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