Richard E. Mundinger

RMH INVESTMENT MANAGEMENT

TUCSON, AZ 85718-3236

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CRD#: 2686311

Professional summary

Richard E Mundinger, CFA is a registered financial advisor currently at RMH INVESTMENT MANAGEMENT, LLC located in Tucson, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Richard E Mundinger'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®

CFA

Chartered Financial Analyst

Experience

Current

March 29, 2019 - Present

RMH INVESTMENT MANAGEMENT, LLC

Office #1: 3430 E Sunrise Drive Suite 180, Tucson, AZ 85718-3236

RIA

CRD#: 148650

TUCSON, AZ

Past

March 16, 2017 - June 8, 2018

IMUS WILKINSON INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 157457

TUCSON, AZ

Past

January 1, 2009 - December 31, 2018

RMH INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 148650

TUCSON, AZ

Past

November 16, 2006 - December 31, 2008

SUNRISE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 140666

TUCSON, AZ

Past

October 25, 2004 - December 31, 2007

SUNRISE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 131915

TUCSON, AZ

Past

April 2, 2003 - December 8, 2004

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

March 28, 2003 - December 8, 2004

QA3 FINANCIAL LLC

RIA

CRD#: 104957

TUCSON, AZ

Past

August 13, 2002 - March 28, 2003

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

TUCSON, AZ

Past

March 2, 1998 - March 28, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

December 21, 1995 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

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

Arizona
(3/29/2019)

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

IAR

Series 65

Date: 1/3/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/22/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RMH INVESTMENT MANAGEMENT, LLC

CRD#: 148650 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2009 Approved)

Oregon

Registered Investment Advisory firm - (12/20/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3430 E Sunrise Drive Suite 180, Tucson, AZ 85718-3236

Mailing Address

Phone number

(520) 314-2300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	202
AUM (Assets Under Management)	$ 82,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard E. Mundinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard E Mundinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMUS WILKINSON INVESTMENT MANAGEMENT, LLC

RMH INVESTMENT MANAGEMENT, LLC

SUNRISE CAPITAL MANAGEMENT, LLC

SUNRISE INVESTMENT MANAGEMENT LLC

QA3 FINANCIAL CORP.

QA3 FINANCIAL LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/1996

Series 63

Date: 12/27/1995

Series 7

Date: 12/20/1995

Series 8

Date: 7/22/1998

Current Firm

RMH INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RMH INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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