Richard H. Follingstad
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 Harvey Follingstad was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 9 firms and has passed the Series 63, Series 1, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2010 - June 20, 2018
UNITED CAPITAL FINANCIAL ADVISORS
January 3, 2008 - July 29, 2011
MARKETSPACE FINANCIAL
September 4, 1990 - April 17, 1995
WELLS FARGO CLEARING SERVICES, LLC
October 28, 1982 - September 4, 1990
BOETTCHER & COMPANY, INC.
February 24, 1978 - November 9, 1982
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 19, 1971 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
February 1, 1971 - June 20, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 23, 1970 - April 19, 1971
GOODBODY & CO. INCORPORATED
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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: 12/4/1968
Registered Representative ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 40
Date: 8/13/1974
Registered Principal ExaminationCurrent Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
