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RP

Richard K. Pugmire

MGI FUNDS DISTRIBUTORS
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 4261069
RP

Professional summary

Richard K Pugmire, who also goes by Richard Pugmire, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Salt Lake City, Utah.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Pugmire

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) - BD

Click below to view Richard K Pugmire's 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

March 7, 2025 - Present

MGI FUNDS DISTRIBUTORS, LLC

Office #1: 2 Main Suite 700, Salt Lake City, UT 84101
BD
CRD#: 35682
Salt Lake City, UT
Past

December 21, 2022 - December 31, 2024

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
Salt Lake City, UT
Past

June 13, 2022 - December 15, 2022

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
Salt Lake City, UT
Past

March 18, 2005 - December 31, 2006

FORD FINANCIAL SERVICES, INC.

BD
CRD#: 13421
DEARBORN, MI
Past

September 18, 2000 - May 6, 2003

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/30/2025)
RR
Michigan
(5/30/2025)
RR
New Mexico
(5/30/2025)
RR
Ohio
(5/30/2025)
RR
Utah
(3/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682 / SEC#: , 8-46960

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS LLCDIRECTOR OWNER/SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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

MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682Salt Lake City, UT 84101

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