Richard T. Mcnamara
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Thaddeus Mcnamara, who also goes by Rick Mcnamara, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2002 - November 16, 2012
CAPITAL ADVANTAGE, INC.
November 19, 1999 - August 27, 2002
CHARLES SCHWAB & CO., INC.
July 20, 1999 - August 27, 2002
CHARLES SCHWAB & CO., INC.
January 23, 1998 - June 23, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 29, 1997 - November 4, 1997
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 24, 1997 - April 4, 1997
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL ADVANTAGE, INC.
CRD#: 108985 / SEC#: 801-55896
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ADVANTAGE, INC.
CRD#: 108985 / SEC#: 801-55896
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,830 |
| AUM (Assets Under Management) | $ 1,111,637,065 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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