Richard J. Naumer
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 J Naumer SR., who also goes by Jake Naumer Sr, Jake Naumer, Richard J Naumer, Richard Jacob Naumer Sr, Richard Jacob Naumer, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1982. Richard had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2008 - November 1, 2010
UNION CAPITAL COMPANY
February 29, 2008 - March 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2008 - March 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2007 - December 20, 2007
UNION CAPITAL COMPANY
February 3, 1999 - April 17, 2001
EISNER SECURITIES, INC.
August 11, 1995 - December 15, 1998
CAPITAL SECURITIES OF AMERICA, INC.
March 16, 1994 - August 1, 1995
CUTTER & COMPANY, INC.
January 21, 1992 - January 13, 1994
CLEARING SERVICES OF AMERICA, INC.
November 24, 1982 - January 20, 1992
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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
Current Firm
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
