Richard L. Gerhold
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 Lee Gerhold, who also goes by Dick Gerhold, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1966. Richard had worked at 9 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1993 - May 2, 2002
VOYA FINANCIAL PARTNERS, LLC
August 12, 1983 - December 31, 2022
CETERA WEALTH SERVICES, LLC
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 1, 1980 - May 2, 1984
ADVANTAGE CAPITAL CORPORATION
June 9, 1978 - August 22, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
January 6, 1977 - July 9, 1978
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 21, 1975 - January 6, 1977
PUTNAM FUND DISTRIBUTORS, INC
June 20, 1974 - June 10, 1982
THE VARIABLE ANNUITY MARKETING COMPANY
October 24, 1966 - August 1, 1974
PUTNAM FINANCIAL SERVICES, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 10/20/1966
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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