Richard A. Kutche
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 Angelo Kutche was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 7 firms and has passed the Series 63, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1986 - September 5, 1990
ASSOCIATED SECURITIES CORP.
June 20, 1984 - May 27, 1986
SOUTHMARK FINANCIAL SERVICES, INC.
August 6, 1982 - May 10, 1984
KIDDER, PEABODY & CO. INCORPORATED
October 8, 1981 - July 26, 1982
J.P. MORGAN SECURITIES LLC
March 6, 1979 - July 22, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 24, 1978 - February 16, 1979
MORGAN STANLEY DW INC.
April 21, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
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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