Richard R. Oelze
Professional summary
Richard Roger Oelze is a registered financial advisor currently at RRO CAPITAL, LLC located in Phoenix, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 12, Series 27, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Roger Oelze's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2019 - Present
RRO CAPITAL, LLC
June 13, 2015 - November 1, 2021
RG CAPITAL
June 6, 2014 - July 1, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
June 6, 2014 - July 1, 2019
FIRST ALLIED SECURITIES, INC.
January 31, 2012 - October 30, 2015
RG ADVISOR GROUP
December 2, 2010 - June 13, 2014
CAPITAL INVESTMENT GROUP, INC.
May 20, 2008 - December 9, 2010
OSAIC SERVICES, INC.
March 17, 1999 - March 21, 2006
PIPER SANDLER & CO.
March 2, 1998 - March 18, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 17, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
July 24, 1989 - August 2, 1994
JEFERSON CAPITAL, INC.
January 25, 1989 - August 23, 1989
FLOYD A. MCCRACKEN SECURITIES, INC.
March 22, 1988 - January 23, 1989
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/29/2019)
(3/14/2019)
Exams
Series 12
Date: 2/4/2000
NYSE Branch Manager ExaminationCurrent Firm
RRO CAPITAL, LLC
CRD#: 300829 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 32 |
| AUM (Assets Under Management) | $ 6,166,083 |
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.
