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MR

Michael S. Richards

NEXTGEN CAPITAL MARKETS
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 2480239
MR

Professional summary

Michael S Richards, who also goes by Michael Scott Richards, is a registered financial professional currently at NEXTGEN CAPITAL MARKETS, LLC located in Atlanta, Georgia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 12 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Scott Richards

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) - BD

Click below to view Michael S Richards's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 18, 2022 - Present

NEXTGEN CAPITAL MARKETS, LLC

Office #1: 3715 Northside Pkwy Nw, Ste.,1-250, Atlanta, GA 30327
BD
CRD#: 170421
Atlanta, GA
Past

September 7, 2018 - June 24, 2020

MERIT SECURITIES, LLC

BD
CRD#: 165470
GIG HARBOR, WA
Past

September 26, 2017 - September 6, 2018

CAMDEN FINANCIAL SERVICES

BD
CRD#: 19925
Santa Monica, CA
Past

February 4, 2015 - September 5, 2017

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
SANTA MONICA, CA
Past

May 2, 2011 - May 20, 2014

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
MANHATTAN BEACH, CA
Past

July 14, 2009 - May 17, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
MANHATTAN BEACH, CA
Past

July 1, 2002 - February 19, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 29, 2000 - May 23, 2002

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 22, 1997 - August 30, 2000

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

August 22, 1996 - August 22, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 2, 1995 - February 7, 1996

BRENNER SECURITIES CORPORATION

BD
CRD#: 26973
Past

May 6, 1994 - January 18, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/18/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NEXTGEN CAPITAL MARKETS, LLC
NEXTGEN CAPITAL MARKETS, LLC

CRD#: 170421 / SEC#: , 8-69418

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3715 Northside Pkwy Nw, Ste.,1-250, Atlanta, GA 30327
Mailing Address
3715 Northside Pkwy Nw, Ste.,1-250, Atlanta, GA 30327
Phone number
(678) 648-1602
Established
Georgia since 01/03/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXTGEN CAPITAL, LLCSOLE MEMBER
BROWN, MICHAEL OWENFINOP / CFO / PFO / PPO1658070
CARY, JOHN FINLEY IICHIEF EXECUTIVE OFFICER / CCO5291677

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

NEXTGEN CAPITAL MARKETS, LLC

CRD#: 170421Atlanta, GA 30327

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