Richard E. Madigan
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 Edward Madigan, who also goes by Richard Madigan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2010 - March 22, 2013
MERCADIEN ASSET MANAGEMENT, LLC
November 7, 2003 - May 11, 2010
MADIGAN CAPITAL MANAGEMENT, 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
Series 2
Date: 9/3/1986
Non-Member General Securities ExaminationCurrent Firm
MERCADIEN ASSET MANAGEMENT, LLC
CRD#: 121546 / SEC#: 801-61651
Contact information
Regulatory assets under management
| Total Number of Accounts | 570 |
| AUM (Assets Under Management) | $ 243,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/04/2024 | ||
| 12/07/2022 |
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.
