ANTHONY CARL RICHTER

ANTHONY CARL RICHTER is currently employed as a Broker and/or Investment Adviser at CAPITAL FINANCIAL SERVICES, INC. located at 1407 W Mason Ridge Ct, Appleton, WI, 54914.

ANTHONY CARL RICHTER has worked at CAPITAL FINANCIAL SERVICES, INC. since December 02, 2016

Disclosure History

ANTHONY CARL RICHTER has 2 Disclosure Event(s).

Date: February 04, 2010
Category: Regulatory
Initiated By: WISCONSIN INSURANCE COMMISSIONER
Allegations: THIRTY ONE DAY DENIAL FOR ANSWERING NO IN THE APPLICATION PROCESS REGARDING ADMINISTRATIVE ACTIONS. I ACCIDENTLY ANSWERED NO, NOT DONE INTENTIONALY.
Resolution: Decision SanctionDetails:
Sanctions: Denial
Broker Comment: ACCIDENTLY ANSWERED NO TO A YES QUESTION REGARDING ADMINISTRATIVE ACTIONS TAKEN BY THE NASD IN 2003. WAS NOT INTENTIONAL. THE STATE STILL ALLOWS ME TO SELL VARIABLE LINES BUT MY LICENSE WILL NOT BE APPROVED UNTIL 3/6/2010.

Date: June 01, 2006
Category: Regulatory

More Information

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