Michael D. Richman
Professional summary
Michael Dewayne Richman, who also goes by Michael D Richman, Mike Richman, is a registered financial advisor currently at OPPENHEIMER ASSET MANAGEMENT located in Carmel, Indiana.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dewayne Richman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2007 - Present
OPPENHEIMER ASSET MANAGEMENT
Office #1: 630 West Carmel Drive Suite 250, Carmel, IN 46039July 26, 2005 - August 12, 2016
OPPENHEIMER & CO. INC.
September 21, 1994 - June 20, 2005
CONSECO EQUITY SALES, INC.
May 27, 1993 - April 5, 1994
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
OPPENHEIMER ASSET MANAGEMENT
CRD#: 105559 / SEC#: 801-31427
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/11/2007)
(1/30/2007)
(1/11/2007)
(1/11/2007)
(8/25/2010)
Exams
Current Firm
OPPENHEIMER ASSET MANAGEMENT
CRD#: 105559 / SEC#: 801-31427
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 44,391 |
| AUM (Assets Under Management) | $ 19,969,672,691 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
Red Flags
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