Mindi L. Risch
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.
Mindi Lynne Risch, who also goes by Mindi Eernisse, Mindi Risch, was a registered financial professional .
Mindi is a previously registered financial professional and started their career in finance in 2006. Mindi had worked at 3 firms and has passed the Series 66 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
May 22, 2014 - July 8, 2014
BUCKINGHAM FINANCIAL GROUP, INC.
August 20, 2007 - August 11, 2011
PBMARES WEALTH MANAGEMENT LLC
October 4, 2006 - April 25, 2007
MICG INVESTMENT MANAGEMENT, LLC
August 7, 2006 - April 25, 2007
MICG INVESTMENT MANAGEMENT, LLC
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
BUCKINGHAM FINANCIAL GROUP, INC.
CRD#: 117982 / SEC#: 801-61297
Contact information
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.
