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DR

Daniel Richmond

CARRERA CAPITAL ADVISORS
Rochester Hills, MI
Some features on this profile are disabled
CRD#: 7249094
DR

Professional summary

Daniel Richmond, who also goes by Dan Richmond, is a registered financial advisor currently at CARRERA CAPITAL ADVISORS located in Rochester Hills, Michigan.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Daniel has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dan Richmond

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.
Worklife Benefit Consultants Not investment related 901 Wilshire Dr, Troy Mi, 48084 Employee Benefits Partner Connecting business owners to solutions June 1st 2025 80 hours/month 20 hours/month during trading hours Just a connector for the business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Richmond's CRS (Customer Relationship Summary).
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

January 13, 2025 - Present

CARRERA CAPITAL ADVISORS

RIA
CRD#: 330834
Rochester Hills, MI
Past

June 26, 2023 - January 31, 2025

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
Troy, MI
Past

June 26, 2023 - January 31, 2025

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
Troy, MI
Past

June 9, 2022 - June 6, 2023

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Southfield, MI
Past

March 14, 2022 - June 6, 2023

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Southfield, MI
Past

September 25, 2021 - March 4, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
TROY, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CARRERA CAPITAL ADVISORS
CARRERA CAPITAL ADVISORS | MKJ COMPANY, LLC | CARRERA CAPITAL ADVISORS, LLC

CRD#: 330834 / SEC#: 801-130197

RIA
Registered Investment Advisory firm - (5/13/2024 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Michigan
(1/13/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/16/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/16/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/24/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/12/2021
Securities Industry Essentials Examination

Current Firm

CC
CARRERA CAPITAL ADVISORS
CARRERA CAPITAL ADVISORS | MKJ COMPANY, LLC | CARRERA CAPITAL ADVISORS, LLC

CRD#: 330834 / SEC#: 801-130197

RIA
Registered Investment Advisory firm - (5/13/2024 Approved)
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Contact information

Main Address
901 Wilshire Drive Suite 565, Troy, MI 48084-5611
Mailing Address
Phone number
(248) 362-5009
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CARRERA CAPITAL ADVISORS (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,461
AUM (Assets Under Management)$ 647,652,930

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

CARRERA CAPITAL ADVISORS

CRD#: 330834Rochester Hills, MI

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