Richard D. Collner
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 Dayton Collner, who also goes by Rick Collner, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 6 firms and has passed the Series 63, Series 7, Series 27 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
January 17, 1990 - December 20, 1999
HIGH POINT CAPITAL GROUP, INC.
April 6, 1989 - May 8, 1989
U.S. ADVISORS, INC.
July 26, 1988 - February 23, 1989
ALLIED CAPITAL GROUP, INC.
December 22, 1986 - July 22, 1988
MORGAN GLADSTONE & CO. INC.
September 15, 1986 - December 22, 1986
F.D. ROBERTS SECURITIES, INC.
October 23, 1985 - September 29, 1986
MICHELIN AND COMPANY, 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
Current Firm
HIGH POINT CAPITAL GROUP, INC.
CRD#: 25667 / SEC#: , 8-42040
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDERSEN, ROBERT ELWOOD JR | PRESIDENT, SECRETARY, TREASURER, CCO & FINOP | 2010590 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
