Richard J. Spahr
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 Joseph Spahr, who also goes by Richard Spahr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2009. Richard had worked at 2 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
April 23, 2013 - July 21, 2014
401(K) COUNSELORS, LLC
April 27, 2010 - December 31, 2012
401(K) COUNSELORS, LLC
March 19, 2009 - December 1, 2009
NEW ENGLAND SECURITIES
February 4, 2009 - December 1, 2009
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
401(K) COUNSELORS, LLC
CRD#: 152559 / SEC#:
Contact information
Red Flags
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