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RM

Richard G. Merican

Some features on this profile are disabled
CRD#: 2403377
RM

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 Gary Merican was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
1) PROFESSIONAL TECHNICAL INVESTING, LLC, PEORIA, AZ, 02/2008 TO PRESENT - SUPPORT COMPANY/DBA (OWNER) - MY BRANCH SUPPORT COMPANY THAT I PAY EXPENSES OUT OF - 0 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - NOT INVESTMENT RELATED. 2) NON-VARIABLE INSURANCE, SCOTTSDALE, AZ, INVESTMENT RELATED, 09/2005 TO PRESENT, AGENT, 1 HOUR PER MONTH, 0 HRS DURING TRADING, SELLING HEALTH INSURANCE. 3) Capital Wealth Insurance LLC - No - 17015 N Scottsdale Rd Ste 250, Scottsdale, AZ 85255 - Insurance - Partner - 6/28/18 - 0hrs/mo - 0hrs/mo during trading hrs - I am a partner of CWI Capital Wealth Holding LLC - No - 17015 N Scott Rd Ste 250, Scottsdale AZ 85255 - Holding company for RIA - CWA - Partner - 6/28/18 - 10hrs/mo - 10hrs/mo during trading hrs - As partner I oversee the business of the holding comp for the RIA & operating costs/bookkeeping

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

November 1, 2018 - February 26, 2024

CAPITAL WEALTH ALLIANCE, LLC

RIA
CRD#: 298257
SCOTTSDALE, AZ
Past

October 17, 2018 - June 30, 2023

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
Scottsdate, AZ
Past

March 1, 2002 - October 2, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SCOTTSDALE, AZ
Past

May 11, 1998 - March 11, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 11, 1995 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

April 20, 1994 - January 12, 1995

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

February 4, 1994 - April 22, 1994

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

December 7, 1993 - January 11, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 7, 1993 - January 11, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CAPITAL WEALTH ALLIANCE, LLC
CAPITAL WEALTH ALLIANCE | TDC FINANCIAL, LLC | NEXT CHAPTER ADVISORY GROUP, LLC | CAPITAL WEALTH ALLIANCE, LLC

CRD#: 298257 / SEC#: 801-113992

RIA
Registered Investment Advisory firm - (9/13/2018 Approved)

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
IAR
Series 65
Date: 8/21/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2002
General Securities Principal Examination

Current Firm

CW
CAPITAL WEALTH ALLIANCE, LLC
CAPITAL WEALTH ALLIANCE | TDC FINANCIAL, LLC | NEXT CHAPTER ADVISORY GROUP, LLC | CAPITAL WEALTH ALLIANCE, LLC

CRD#: 298257 / SEC#: 801-113992

RIA
Registered Investment Advisory firm - (9/13/2018 Approved)
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Contact information

Main Address
17015 North Scottsdale Road Suite 250, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 948-7590
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (12 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAPITAL WEALTH ALLIANCE LLC ADV PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts881
AUM (Assets Under Management)$ 220,462,774

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

CAPITAL WEALTH ALLIANCE, LLC

CRD#: 298257

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Contact information

xxxxx@xxxx.xxx

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