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Neal M. Richard

AXIOM CAPITAL MANAGEMENT
New York, NY 10118
Some features on this profile are disabled
CRD#: 2601802
NR

Professional summary

Neal Michael Richard is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.

Neal is registered as a RR (Registered Representative) and started their career in finance in 1995. Neal has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Michael Richard'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

January 16, 2014 - Present

AXIOM CAPITAL MANAGEMENT, INC.

Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118
BD
CRD#: 26580
New York, NY
Past

April 26, 2010 - January 16, 2014

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

March 22, 2010 - January 31, 2013

RAVEN SECURITIES CORP.

BD
CRD#: 35201
NEW YORK, NY
Past

July 29, 2009 - December 31, 2009

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

January 26, 2007 - March 24, 2009

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
NEW YORK, NY
Past

August 2, 2005 - December 31, 2006

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

January 12, 2005 - June 1, 2005

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

February 19, 2004 - January 21, 2005

NANDRA GROUP, INC.

BD
CRD#: 32850
NEW YORK, NY
Past

September 20, 1995 - January 16, 2004

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
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
(1/16/2014)
RR
New Jersey
(1/16/2014)
RR
New York
(1/16/2014)
RR
Texas
(1/16/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/9/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/18/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/8/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
AXIOM CAPITAL MANAGEMENT, INC.
AXIOM CAPITAL MANAGEMENT, INC. | DLM HOLDINGS INC.

CRD#: 26580 / SEC#: , 8-42638

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

Main Address
350 Fifth Avenue Suite 6740, New York, NY 10118
Mailing Address
350 Fifth Avenue Suite 6740, New York, NY 10118
Phone number
(212) 521-3800
Established
Delaware since 04/12/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
DALTON, LIAM FRANCISCEO/PRESIDENT1327801
DICHIARA, MARIADIRECTOR OF OPERATIONS/EXECUTIVE VP1751312
MILLER, ERIC LEECCO/CROP/ROSFP/ROP/MUNICIPAL PRINCIPAL2200698
RICHARD, NEAL MICHAELHEAD TRADER2601802
WRIGHT, DAVID CHARLESFINOP6023564

Disclosures

Regulatory Event11
Civil Event1
Arbitration3

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

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580New York, NY 10118

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