Richard M. Eisenmenger
Professional summary
Richard Michael Eisenmenger was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Richard had worked at 4 firms, which includes GENEVA SECURITIESINC., I.M. SIMON & CO. INC., MARQUETTE FINANCIAL GROUP INC., B. C. ZIEGLER AND COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 1985 - November 12, 1999
GENEVA SECURITIES,INC.
December 22, 1981 - April 3, 1985
I.M. SIMON & CO., INC.
October 16, 1980 - December 16, 1981
MARQUETTE FINANCIAL GROUP, INC.
May 15, 1973 - November 16, 1980
B. C. ZIEGLER AND COMPANY
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: 5/11/1973
Registered Representative ExaminationCurrent Firm
GENEVA SECURITIES,INC.
CRD#: 16178 / SEC#: , 8-33477
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEFCO FINANCIAL GROUP, INC. | OWNER | |
| AUGUSTYN, BRIAN GERARD | VICE PRESIDENT, SALES - WEST DIVISION | 1438721 |
| BARR, ZENDA SYNSTEBY | VICE PRESIDENT, MUNICIPAL TRADING | 729157 |
| BRASER, DAVID VALEY | VICE PRESIDENT, MUNICIPAL TRADING | 817373 |
| EISENMENGER, RICHARD MICHAEL | CEO, DIRECTOR | 76637 |
| MAVES, CARL WILLIAM | VICE PRESIDENT, RETAIL TRADING | 323566 |
| MESSENGER, LEROY KENNETH | COO, CFO, DIRECTOR, SECRETARY/TREASURER | 815653 |
| ZUREK, JAMES KEITH | SROP/CROP | 824892 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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