Richard E. Christman
Professional summary
Richard Eugene Christman, CFP®, who also goes by Richard Christman, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St. Paul, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Eugene Christman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2024 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St. Paul, MN 55101-2098October 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
(10/8/2024)
(10/8/2024)
Exams
FINRA
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.
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Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St. Paul, MN 55101-2098TRUST BUT VERIFY
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