Daniel E. Richmond
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.
Daniel Edward Richmond was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - March 1, 2017
EMERGENT FINANCIAL GROUP, INC.
February 5, 2002 - December 31, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 27, 2001 - February 4, 2002
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
November 1, 1994 - June 22, 2001
GLOBAL FINANCIAL GROUP, INC.
September 18, 1989 - October 28, 1994
HAYNE, MILLER FINANCIAL, INC.
November 21, 1986 - September 18, 1989
HAYNE, MILLER & SWEARINGEN, 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
EMERGENT FINANCIAL GROUP, INC.
CRD#: 37891 / SEC#: , 8-47997
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VTMW CAPITAL MANAGEMENT, LTD. | 100% DIRECT OWNER | |
| GOETSCH, MICHAEL RAY | PRESIDENT | 1807841 |
| JENKINS, CYNTHIA MADELYN | FINANCIAL AND OPERATIONS PRINCIPAL | 706510 |
| MCKELVEY, ROBERT KEVIN | CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD, CHIEF COMPLIANCE OFFICER | 328695 |
| VOLDNESS, PETER BRIAN | CHIEF EXECUTIVE OFFICER | 872727 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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