Richard J. Imhoff
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 James Imhoff, CFP®, who also goes by Rick Imhoff, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 4 firms and has passed the Series 63 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
Start date: 1987
Experience
June 17, 2013 - September 11, 2015
IMHOFF FINANCIAL ADVISORS, LLC
February 13, 1985 - August 5, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1984 - February 19, 1985
WADDELL & REED
August 14, 1979 - August 3, 1984
N.I.S. FINANCIAL SERVICES, 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: 8/3/1979
Registered Representative ExaminationCurrent Firm
IMHOFF FINANCIAL ADVISORS, LLC
CRD#: 167805 / SEC#:
Contact information
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.
