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Richard T. Otoole

Some features on this profile are disabled
CRD#: 354200
RO

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 Thomas Otoole was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 9 firms and has passed the Series 63, Series 65, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 1995 - October 25, 2006

ASSETMARK CAPITAL CORPORATION

BD
CRD#: 37583
PLEASANT HILL, CA
Past

November 19, 1989 - March 8, 1995

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

April 3, 1989 - November 19, 1992

INDEPENDENT PLANNING CAPITAL CORPORATION

BD
CRD#: 23963
Past

December 24, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

September 17, 1980 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420
Past

April 12, 1978 - November 2, 1980

INDEPENDENT FINANCIAL PLANNERS CORPORATION

BD
CRD#: 653
Past

July 6, 1976 - October 23, 1980

INDEPENDENT SECURITIES CORPORATION

BD
CRD#: 262
Past

August 5, 1975 - July 14, 1976

PUTNAM FUND DISTRIBUTORS, INC.

BD
CRD#: 684
Past

November 18, 1969 - February 1, 1975

ALLSTATE ENTERPRISES MANAGEMENT COMPANY

BD
CRD#: 4037

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/21/1995
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/31/1991
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 1
Date: 11/13/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 8/22/1975
General Securities Principal Examination

Current Firm

AC
ASSETMARK CAPITAL CORPORATION
ACG CAPITAL CORPORATION | ASSETMARK CAPITAL CORPORATION

CRD#: 37583 / SEC#: , 8-47813

BD
Terminated by SEC on 07/08/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/28/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GENWORTH FINANCIAL, INCSHAREHOLDER COMMON
CORDES, RONALD DENNISCHAIRMAN/CHIEF COMPLIANCE OFFICER1920507
STEINY, RICHARD EDWARDPRESIDENT604094

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.

Company Information

ASSETMARK CAPITAL CORPORATION

CRD#: 37583

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