Richard M. Pankratz

BROADSTREET FINANCIAL ADVISERS

Ormond Beach, FL 32174

Some features on this profile are disabled

CRD#: 2613427

Professional summary

Richard Mark Pankratz, CFP®, who also goes by Rick Pankratz, is a registered financial advisor currently at BROADSTREET FINANCIAL ADVISERS LLC located in Ormond Beach, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 4 firms and has passed the Series 63, Series 6 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Pankratz

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) - RIA

Click below to view Richard Mark Pankratz's 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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

December 18, 2003 - Present

BROADSTREET FINANCIAL ADVISERS LLC

Office #1: 310 Wilmette Avenue Suite 2, Ormond Beach, FL 32174

RIA

CRD#: 130311

Ormond Beach, FL

Past

December 18, 2003 - December 31, 2014

BROADSTREET FINANCIAL ADVISERS LLC

RIA

CRD#: 130311

DAYTONA BEACH, FL

Past

April 16, 2003 - October 25, 2003

CPA FINANCIAL ADVISERS, INC.

RIA

CRD#: 44388

DAYTONA BEACH, FL

Past

September 14, 2001 - October 25, 2003

CPA FINANCIAL ADVISERS, INC.

CRD#: 44388

DAYTONA BEACH, FL

Past

June 21, 2000 - August 6, 2001

CPA FINANCIAL ADVISERS, INC.

CRD#: 44388

DAYTONA BEACH, FL

Past

March 19, 1998 - May 11, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 14, 1997 - December 31, 1997

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

August 28, 1995 - January 13, 1997

FIRST GULFCOAST INVESTMENTS, INC.

CRD#: 28715

VENICE, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/18/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/25/1995

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 2

Date: 8/23/1995

Non-Member General Securities Examination

Current Firm

BROADSTREET FINANCIAL ADVISERS LLC

BROADSTREET FINANCIAL ADVISERS LLC | JOHNSON EUBANK PANKRATZ & COMPANY FINANCIAL SERVICES, LLC

CRD#: 130311 / SEC#:

Florida

Registered Investment Advisory firm - (12/18/2003 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

310 Wilmette Avenue Suite 2, Ormond Beach, FL 32174

Mailing Address

Phone number

(386) 299-4160

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 97,503,306

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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Richard Stumpf

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Wichita, KS

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard M. Pankratz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Mark Pankratz's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADSTREET FINANCIAL ADVISERS LLC

BROADSTREET FINANCIAL ADVISERS LLC

CPA FINANCIAL ADVISERS, INC.

CPA FINANCIAL ADVISERS, INC.

CPA FINANCIAL ADVISERS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

FIRST GULFCOAST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/1995

Series 6

Date: 8/25/1995

Series 2

Date: 8/23/1995

Current Firm

BROADSTREET FINANCIAL ADVISERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROADSTREET FINANCIAL ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors