Richard D. Cardall
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 Dahlquist Cardall, who also goes by Dick Cardall, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 14 firms and has passed the Series 66, Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2012 - December 21, 2015
GLOBALMACRO CAPITAL MANAGEMENT, LLC
November 2, 2007 - October 22, 2010
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
December 5, 2000 - October 22, 2010
TRANSAMERICA CAPITAL, LLC
November 8, 1999 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 1, 1997 - November 3, 1999
CAPITAL BROKERAGE CORPORATION
June 11, 1992 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
April 9, 1984 - August 8, 1990
JMB SECURITIES CORPORATION
May 18, 1982 - April 2, 1984
FPI SECURITIES, INC.
April 27, 1982 - June 21, 1983
LPL FINANCIAL LLC
June 11, 1981 - December 22, 1983
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1980 - January 19, 1982
ADVISORY FINANCIAL CONSULTANTS, INC.
February 14, 1979 - July 12, 1979
PLANNED INVESTMENTS INC.
September 27, 1978 - June 17, 1981
DAVE FRIES AND ASSOCIATES
October 24, 1972 - November 1, 1976
SYSTECH REAL ESTATE SECURITIES CORPORATION
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
Series 1
Date: 10/16/1972
Registered Representative ExaminationCurrent Firm
GLOBALMACRO CAPITAL MANAGEMENT, LLC
CRD#: 153819 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 85 |
| AUM (Assets Under Management) | $ 27,868,013 |
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.
