Richard H. Kamerling
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 Harris Kamerling, who also goes by Dick Kamerling, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 6 firms and has passed the Series 63, Series 7 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
January 23, 1996 - July 29, 1999
WESTERN INTERNATIONAL SECURITIES, INC.
April 13, 1989 - January 11, 1995
CHATFIELD DEAN & CO., INC.
August 2, 1985 - February 1, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION
May 21, 1985 - August 9, 1985
TRI-BRADLEY INVESTMENTS
March 1, 1985 - May 2, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
April 28, 1981 - September 11, 1984
VANTAGE SECURITIES OF COLORADO, INC.
February 23, 1981 - February 22, 1983
FIRST FINANCIAL SECURITIES, 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
