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RC

Richard Dahlquist Cardall

CRD# 40273·Registered 1972 - 2015
Previously Registered: Being a previously registered professional could mean that Richard 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.

Professional Summary

Richard Dahlquist Cardall, who also goes by Dick Cardall, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1972 - 2015. Richard had worked at 14 firms and has passed the Series 66, Series 63, Series 1 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dick Cardall

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

54 years registered in the securities industry

Current & Past Employments

Past

GLOBALMACRO CAPITAL MANAGEMENT, LLCPast·CRD# 153819
RIA
Wheaton, IL
October 19, 2012 - December 21, 2015
TRANSAMERICA INVESTMENT MANAGEMENT, LLCPast·CRD# 108488
RIA
Walnut Creek, CA
November 2, 2007 - October 22, 2010
TRANSAMERICA CAPITAL, LLCPast·CRD# 8217
BD
Walnut Creek, CA
December 5, 2000 - October 22, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLCPast·CRD# 16164
BD
Philadelphia, PA
November 8, 1999 - December 12, 2000
CAPITAL BROKERAGE CORPORATIONPast·CRD# 10465
BD
Glen Allen, VA
December 1, 1997 - November 3, 1999
FORTH FINANCIAL SECURITIES, CORPORATIONPast·CRD# 14363
BD
Richmond, VA
June 11, 1992 - December 1, 1997
JMB SECURITIES CORPORATIONPast·CRD# 5862
BD
April 9, 1984 - August 8, 1990
FPI SECURITIES, INC.Past·CRD# 10280
BD
May 18, 1982 - April 2, 1984
PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471
BD
June 11, 1981 - December 22, 1983
LPL FINANCIAL LLCPast·CRD# 6413
BD
April 27, 1982 - June 21, 1983
ADVISORY FINANCIAL CONSULTANTS, INC.Past·CRD# 7990
BD
March 26, 1980 - January 19, 1982
DAVE FRIES AND ASSOCIATESPast·CRD# 1917
BD
September 27, 1978 - June 17, 1981
PLANNED INVESTMENTS INC.Past·CRD# 5066
BD
February 14, 1979 - July 12, 1979
SYSTECH REAL ESTATE SECURITIES CORPORATIONPast·CRD# 6147
BD
October 24, 1972 - November 1, 1976

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Current Firm

GC
GLOBALMACRO CAPITAL MANAGEMENT, LLC

GLOBALMACRO CAPITAL MANAGEMENT, LLC | VARIANT CAPITAL LLC | VARIANT CAPITAL L.P.

CRD#: 153819
California
Registered Investment Advisory firm - California (4/20/2023 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (8/20/2014 Approved)
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).

Contact Information

Main Address

1755 S. Naperville Road Suite #100, Wheaton, IL 60189

Phone Number

(630) 933-0216

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

99

AUM (Assets Under Management)

$38,327,927

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1982About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Oct 1972

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Aug 2005About the Series 26 exam

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CRS (Client Relationship Summary)

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

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