Richard E. Christman
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 Eugene Christman, CFP®, who also goes by Richard Christman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2024 - July 15, 2026
SECURIAN FINANCIAL SERVICES, INC.
October 12, 2023 - October 1, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 13, 2023 - October 1, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 4, 2021 - July 11, 2023
BRIGHTHOUSE SECURITIES, LLC
May 23, 2012 - December 2, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 17, 2012 - December 2, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 7, 2010 - August 9, 2010
SEIDMAN PRIVATE ADVISORS LLC
April 5, 2010 - August 17, 2010
EAGLE STRATEGIES LLC
April 5, 2010 - August 17, 2010
NYLIFE SECURITIES LLC
July 13, 2009 - September 8, 2009
FOX FINANCIAL MANAGEMENT CORPORATION
June 4, 2004 - December 6, 2007
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 21, 2000 - January 6, 2004
INVESCO CAPITAL MARKETS, INC.
October 19, 1993 - March 7, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
