Richard Dana Ehrhart
Professional Summary
Richard Dana Ehrhart, who also goes by Rick Ehrhart, is a registered financial advisor currently at OPTSECURITIES, LLC located in Charlotte, North Carolina. Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Ehrhart
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
OPT CAPITAL, LLC | OPTSECURITIES, LLC | OPT SECURITIES, LLC
Contact Information
Main Address
200 S. College St. 16th Floor, Charlotte, NC, 28202Mailing Address
200 S. College St. 16th Floor, Charlotte, NC, 28202Phone Number
(704) 731-5990Established
North Carolina since 09/08/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(7/17/2020)
(12/9/2016)
(2/19/2021)
(9/13/2013)
(4/22/2014)
(4/4/2019)
(7/8/2014)
(2/16/2015)
(3/20/2018)
(3/19/2019)
(2/5/2021)
(12/13/2018)
(11/17/2020)
(12/3/1999)
(5/20/2013)
(8/5/2019)
(7/31/2014)
(3/5/2021)
(4/15/2013)
(3/11/2019)
(3/16/2021)
(7/31/2014)
(3/12/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1995About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1999About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Dana Ehrhart's CRS (Customer Relationship Summary).
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