Otto G. Glatt

RICHMOND CAPITAL MANAGEMENT

Richmond, VA 23230

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CRD#: 2694105

Professional summary

Otto Gregory Glatt III, who also goes by Otto Gregory Gatt, Otto Gregory Glatt, is a registered financial advisor currently at RICHMOND CAPITAL MANAGEMENT INC located in Richmond, Virginia.

Otto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Otto has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Otto Gregory Gatt | Otto Gregory Glatt

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 Otto Gregory Glatt III'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

April 30, 2019 - Present

RICHMOND CAPITAL MANAGEMENT INC

Office #1: 1509a Belleville Street, Richmond, VA 23230

RIA

CRD#: 104636

Richmond, VA

Past

January 20, 2017 - April 6, 2018

THOMPSON DAVIS & CO., INC.

CRD#: 41353

RICHMOND, VA

Past

September 16, 2015 - October 13, 2016

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

April 1, 2014 - July 6, 2015

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Richmond, VA

Past

August 17, 2009 - April 1, 2014

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

December 1, 2008 - July 31, 2009

THINKEQUITY LLC

CRD#: 44274

NEW YORK, NY

Past

April 24, 2006 - November 15, 2007

THINKEQUITY LLC

CRD#: 44274

NEW YORK, NY

Past

September 7, 2005 - April 21, 2006

DOMINICK & DICKERMAN LLC

CRD#: 7344

NEW YORK, NY

Past

December 16, 2004 - September 8, 2005

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

February 24, 1998 - November 9, 2004

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 31, 1996 - December 4, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RICHMOND CAPITAL MANAGEMENT INC

CRD#: 104636 / SEC#: 801-17534

RIA

Registered Investment Advisory firm - (9/2/1982 Approved)

Illinois

Registered Investment Advisory firm - (9/4/2003 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).

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

Virginia
(4/30/2019)

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: 4/30/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/30/1996

General Securities Representative Examination

Current Firm

RICHMOND CAPITAL MANAGEMENT INC

CRD#: 104636 / SEC#: 801-17534

RIA

Registered Investment Advisory firm - (9/2/1982 Approved)

Illinois

Registered Investment Advisory firm - (9/4/2003 Terminated)

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Contact information

Main Address

1509a Belleville Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 379-8280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RCM PART 2A SUMMARY OF MATERIAL CHANGES (3/17/2025)

RCM PART 2A OF FORM ADV (3/17/2025)

Regulatory assets under management

Total Number of Accounts	175
AUM (Assets Under Management)	$ 6,139,393,000

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.

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Advisor Monitoring

Firm Stability Insights

Otto G. Glatt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Otto Gregory Glatt III's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMPSON DAVIS & CO., INC.

BB&T SECURITIES, LLC

B. RILEY WEALTH MANAGEMENT

DOMINICK & DICKERMAN LLC

THINKEQUITY LLC

THINKEQUITY LLC

DOMINICK & DICKERMAN LLC

NEWEDGE USA, LLC

LEGG MASON WOOD WALKER, INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

RICHMOND CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2019

Series 63

Date: 6/12/1996

SIE

Date: 4/6/2018

Series 7

Date: 5/30/1996

Current Firm

RICHMOND CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHMOND CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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