Richard E. Nottingham

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CRD#: 1267464

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 Earl Nottingham, who also goes by Dick Nottingham, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dick Nottingham

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)EEO, LLC 904 CORRENTE LANE VIRGINIA BEACH, VA 23456 CATEGORY: REAL ESTATE MANAGEMENT, RENTALS OR DEVELOPMENT INVESTMENT-RELATED: YES TITLE: OWNER DUTIES: OWNS AND RENTS REAL ESTATE START DATE: 2/1/02 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 0 2)RICHARD E. NOTTINGHAM AND/OR CAPE FINANCIAL, INC. 4429 BONNEY ROAD, SUITE 440, VIRGINIA BEACH, VA 23452 CATEGORY: INSURANCE, LIFE SETTLEMENTS INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: SALE OF FIXED LIFE, HEALTH, ACCIDENT, AND DISABILITY INSURANCE, FIXED AND INDEXED ANNUITIES, AND FIXED LIFE SETTLEMENTS START DATE: 5/15/01 HOURS PER MONTH: 175 HOURS PER MONTH DURING TRADING HOURS: 150

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 26, 2018 - November 20, 2024

WEALTHTRAK ADVISORS

RIA

CRD#: 160057

VIRGINIA BEACH, VA

Past

April 6, 2000 - June 1, 2018

OSAIC FS, INC.

RIA

CRD#: 3870

VIRGINIA BEACH, VA

Past

August 28, 1998 - June 1, 2018

OSAIC FS, INC.

CRD#: 3870

VIRGINIA BEACH, VA

Past

November 2, 1994 - August 28, 1998

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 14, 1993 - November 1, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

April 24, 1990 - January 5, 1993

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

Past

December 9, 1988 - March 12, 1990

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

June 28, 1988 - December 14, 1988

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

Past

June 15, 1988 - September 22, 1988

HERITAGE EQUITY PLANNING CORPORATION

CRD#: 18181

Past

March 5, 1987 - April 30, 1988

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

Past

May 24, 1984 - January 5, 1993

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHTRAK ADVISORS

WEALTHTRAK ADVISORS | WEALTHTRAK CAPITAL MANAGEMENT, L.L.C. | WEALTHTRAK CAPITAL MANAGEMENT

CRD#: 160057 / SEC#: 801-123640

RIA

Registered Investment Advisory firm - (4/7/2022 Approved)

Florida

Registered Investment Advisory firm - (4/11/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (4/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/11/2022 Terminated)

Virginia

Registered Investment Advisory firm - (4/12/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/23/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHTRAK ADVISORS

WEALTHTRAK ADVISORS | WEALTHTRAK CAPITAL MANAGEMENT, L.L.C. | WEALTHTRAK CAPITAL MANAGEMENT

CRD#: 160057 / SEC#: 801-123640

RIA

Registered Investment Advisory firm - (4/7/2022 Approved)

Florida

Registered Investment Advisory firm - (4/11/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (4/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/11/2022 Terminated)

Virginia

Registered Investment Advisory firm - (4/12/2022 Terminated)

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Contact information

Main Address

272 Bendix Road Suite 130, Virginia Beach, VA 23452

Mailing Address

Phone number

(757) 523-1250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHTRAK CAPITAL MANAGEMENT ADV BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	714
AUM (Assets Under Management)	$ 164,611,682

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.

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Firm Stability Insights

Richard E. Nottingham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC FS, INC.

OSAIC FS, INC.

WALNUT STREET SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

GROVE POINT INVESTMENTS, LLC

1717 CAPITAL MANAGEMENT COMPANY

HERITAGE EQUITY PLANNING CORPORATION

CONSECO FINANCIAL SERVICES, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

WEALTHTRAK ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1999

Series 63

Date: 5/23/1984

SIE

Date: 6/1/2018

Series 6

Date: 5/23/1984

Current Firm

WEALTHTRAK ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHTRAK ADVISORS

TRUST BUT VERIFY

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