Richard G. Kamper
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 George Kamper, who also goes by Dick Kamper, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2016 - August 15, 2016
CANTELLA & CO., INC.
September 13, 1993 - April 14, 2016
INVESTORS CAPITAL CORP.
June 2, 1992 - December 8, 1992
FINANCIAL SECURITIES NETWORK,INC.
December 16, 1989 - May 8, 1990
LPL FINANCIAL LLC
May 8, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
August 28, 1980 - July 28, 1986
COMMONWEALTH FINANCIAL NETWORK
September 18, 1978 - January 15, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 23, 1977 - September 6, 1978
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 23, 1977 - September 6, 1978
SIGNATOR INVESTORS, 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: 2/17/1977
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
