Richard C. Rathmann
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 Craig Rathmann was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 8 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2008 - December 17, 2015
RATHMANN & ASSOCIATES, L.P.
April 14, 2003 - May 16, 2003
RBC CAPITAL MARKETS, LLC
March 2, 1998 - May 16, 2003
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 1, 1991 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 4, 1990 - January 23, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
May 31, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
June 27, 1980 - June 15, 1988
BOETTCHER & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RATHMANN & ASSOCIATES, L.P.
CRD#: 147031 / SEC#:
Contact information
Red Flags
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