Richard M. Nummi
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2003 - November 23, 2005
GUNNALLEN FINANCIAL, INC
February 25, 1999 - July 21, 2000
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
September 22, 1998 - February 2, 2000
OSAIC FS, INC.
September 17, 1997 - August 20, 1998
LEWIS & CLARK SECURITIES, INC.
January 30, 1997 - August 20, 1998
INVESTMENT CENTERS OF AMERICA, INC.
July 10, 1996 - August 20, 1998
INVEST FINANCIAL CORPORATION
November 9, 1994 - January 16, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
