Richard B. Anspacher
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 Barton Anspacher was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1965. Richard had worked at 5 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2001 - January 3, 2012
PENSON FINANCIAL SERVICES, INC.
August 7, 1997 - June 13, 2001
MOMENTUM INDEPENDENT NETWORK INC.
October 8, 1985 - September 5, 1995
STONEGATE CAPITAL MARKETS, INC.
April 11, 1977 - September 6, 1985
ANSPACHER SECURITIES, INC.
December 8, 1965 - April 8, 1971
WEBER, HALL, SALE & ASSOCIATES, 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 1
Date: 4/19/1963
Registered Representative ExaminationSeries 40
Date: 11/23/1976
Registered Principal ExaminationCurrent Firm
PENSON FINANCIAL SERVICES, INC.
CRD#: 25866 / SEC#: , 8-42095
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Arbitration | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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