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Richard M. Coleman

Some features on this profile are disabled
CRD#: 2432641
RC

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 Marion Coleman, who also goes by Dick Coleman, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dick Coleman

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

May 31, 2011 - March 1, 2013

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
WINTER PARK, FL
Past

May 18, 2011 - March 1, 2013

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
WINTER PARK, FL
Past

December 4, 2007 - May 20, 2011

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
WINTER PARK, FL
Past

December 3, 2007 - May 20, 2011

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
WINTER PARK, FL
Past

November 3, 2006 - December 18, 2007

NBC SECURITIES, INC.

RIA
CRD#: 17870
CLERMONT, FL
Past

April 7, 2006 - December 18, 2007

NBC SECURITIES, INC.

BD
CRD#: 17870
CLERMONT, FL
Past

October 1, 2000 - March 31, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LEESBURG, FL
Past

October 1, 2000 - March 31, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LEESBURG, FL
Past

November 10, 1998 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

May 1, 1998 - November 9, 1998

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

February 7, 1997 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

September 6, 1994 - February 12, 1997

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

January 1, 1994 - August 23, 1994

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX

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: 5/29/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1993
General Securities Representative Examination

Current Firm

CG
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
ALPERN FINANCIAL | SPARGER INVESTMENT SERVICES | SENIOR WEALTH MANAGEMENT | RHINO WEALTH MANAGEMENT | PROVIDENCE FINANCIAL SERVICES | PROTRUST ADVISORS | PLUS POINT ADVISORS | MOREHEAD PLAN ADMINISTRATORS | MILLER FINANCIAL | MCMAHAN & ASSOCIATES | MASTERS PCG | IPS FINANCIAL SERVICES CORP. D/B/A MCMAHAN & ASSOCIATES | IPS FINANCIAL SERVICES CORP. | INTRACOASTAL GROUP | IBEX CAPITAL | HORIZON FINANCIAL SERVICES | HARVEST CAPITAL | FORTIUS WEALTH MANAGEMENT | FINANCIAL AND TAX STRATEGIES | ED KIRKLAND & COMPANY | DIANNE ODOM, CPA | DANNY DAHL FINANCIAL | CURRY & CURRY | CENTERMARK CAPITAL MANAGEMENT | CAPITAL PLAN ADVISORS | CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC | CAPITAL GUARDIAN WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | ARCHER INVESTMENT MANAGEMENT

CRD#: 131631 / SEC#: 801-63969

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Contact information

Main Address
1395 Brickell Avenue, Suite 800, Miami, FL 33131
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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 GUARDIAN WEALTH MANAGEMENT, LLC

CRD#: 131631

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