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RD

Richard L. Droster

Some features on this profile are disabled
CRD#: 2271920
RD

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 Lee Droster, who also goes by Rick Lee Droster, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Lee Droster

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 14, 2024 - October 31, 2024

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

BD
CRD#: 137222
SAN FRANCISCO, CA
Past

June 24, 2024 - October 31, 2024

MCMORGAN & COMPANY LLC

RIA
CRD#: 115060
Hingham, MA
Past

July 7, 2021 - August 15, 2022

UNIPLAN INSTITUTIONAL ADVISORS LLC

RIA
CRD#: 314367
Hingham, MA
Past

March 12, 2020 - March 11, 2021

UNIPLAN REAL ESTATE ADVISORS, INC.

RIA
CRD#: 105949
Hingham, MA
Past

March 12, 2020 - August 15, 2022

UNIPLAN INVESTMENT COUNSEL, INC.

RIA
CRD#: 154718
Hingham, MA
Past

November 19, 2019 - February 18, 2020

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA
Past

April 21, 2016 - October 20, 2017

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA
Past

April 11, 2002 - August 8, 2008

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
HINGHAM, MA
Past

November 1, 2000 - January 16, 2002

AMERIMUTUAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 47661
STAMFORD, CT
Past

May 27, 1998 - October 27, 1999

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

December 17, 1992 - November 5, 1996

HEARTLAND ADVISORS, INC.

BD
CRD#: 29433
MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/14/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/14/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/3/2004
Investment Company Products/Variable Contracts Principal Examination

Current Firm

M&
MCMORGAN & COMPANY CAPITAL ADVISORS LLC
MCMORGAN & COMPANY CAPITAL ADVISORS LLC | RADIANT SECURITIES LLC

CRD#: 137222 / SEC#: , 8-67074

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
33 New Montgomery Street Suite 2000, San Francisco, CA 94105
Mailing Address
33 New Montgomery Street Suite 2000, San Francisco, CA 94105
Phone number
(415) 788-9300
Established
New York since 04/11/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCMORGAN & COMPANY LLCMEMBER
DANIELS, RICHARD MATTHEWFINOP, CFO,PFO & POO5877964
JOSEF, ANDREW SCHIEF COMPLIANCE OFFICER4789945
SANTAGUIDA, JOHN F. SCOTTPRESIDENT5004531

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.

Company Information

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

CRD#: 137222

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