Rick R. Nagel
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.
Rick Ronald Nagel, who also goes by Rick Nagel, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2013. Rick had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2013 - December 31, 2017
ACORN CAPITAL MANAGEMENT
Primary Firm SEC Registration
ACORN CAPITAL MANAGEMENT
CRD#: 164499 / SEC#: 801-110106
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
ACORN CAPITAL MANAGEMENT
CRD#: 164499 / SEC#: 801-110106
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 655,060,033 |
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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