Roy W. Mcdowell

RICHMOND CAPITAL MANAGEMENT

RICHMOND, VA 23230

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CRD#: 1761550

Professional summary

Roy Wheatley Mcdowell, who also goes by Roy Mcdowell, Wheat Mcdowell, Roy Wheat, is a registered financial advisor currently at RICHMOND CAPITAL MANAGEMENT INC located in Richmond, Virginia.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Roy has worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy Mcdowell | Wheat Mcdowell | Roy Wheat

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Wheatley Mcdowell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 1, 2001 - Present

RICHMOND CAPITAL MANAGEMENT INC

Office #1: 1509a Belleville St., Richmond, VA 23230

RIA

CRD#: 104636

RICHMOND, VA

Past

October 1, 1999 - August 18, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 15, 1992 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

January 1, 1992 - April 28, 1992

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 17, 1990 - January 1, 1992

SOVRAN INVESTMENT CORPORATION

CRD#: 16441

Past

March 22, 1990 - May 4, 1990

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

March 22, 1990 - May 4, 1990

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

December 11, 1987 - May 4, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

RICHMOND CAPITAL MANAGEMENT INC

CRD#: 104636 / SEC#: 801-17534

RIA

Registered Investment Advisory firm - (9/2/1982 Approved)

Illinois

Registered Investment Advisory firm - (9/4/2003 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(8/1/2001)

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: 7/26/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/31/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

Current Firm

RICHMOND CAPITAL MANAGEMENT INC

CRD#: 104636 / SEC#: 801-17534

RIA

Registered Investment Advisory firm - (9/2/1982 Approved)

Illinois

Registered Investment Advisory firm - (9/4/2003 Terminated)

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Contact information

Main Address

1509a Belleville Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 379-8280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RCM PART 2A SUMMARY OF MATERIAL CHANGES (3/17/2025)

RCM PART 2A OF FORM ADV (3/17/2025)

Regulatory assets under management

Total Number of Accounts	175
AUM (Assets Under Management)	$ 6,139,393,000

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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Advisor Monitoring

Firm Stability Insights

Roy W. Mcdowell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Wheatley Mcdowell's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

BANC OF AMERICA SECURITIES LLC

SOVRAN INVESTMENT CORPORATION

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

RICHMOND CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2001

Series 63

Date: 1/19/1988

Series 3

Date: 12/31/1987

Series 7

Date: 11/21/1987

Current Firm

RICHMOND CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHMOND CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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