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RN

Richard M. Nummi

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CRD#: 2540066
RN

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 Mark Nummi, who also goes by Richard Marc Nummi, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Richard Marc Nummi

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

July 14, 2003 - November 23, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
ROCKWALL, TX
Past

February 25, 1999 - July 21, 2000

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

September 22, 1998 - February 2, 2000

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

September 17, 1997 - August 20, 1998

LEWIS & CLARK SECURITIES, INC.

BD
CRD#: 22687
TAMPA, FL
Past

January 30, 1997 - August 20, 1998

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

July 10, 1996 - August 20, 1998

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

November 9, 1994 - January 16, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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: 8/18/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
RR
Series 31
Date: 2/10/1995
Futures Managed Funds Examination
General Industry/Product Exam
Principal/Supervisory Exam

Current Firm


GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information


Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures


Regulatory Event17
Arbitration13

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


GUNNALLEN FINANCIAL, INC

CRD#: 17609

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