Richard S. Umstead
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 Scott Umstead, who also goes by R. Scott Umstead, Scott Umstead, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, PC, Series 7, Series 24, Series 53, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2017 - August 11, 2021
COLUMBUS MACRO, LLC
March 23, 2017 - August 8, 2017
IRONVIEW CAPITAL MANAGEMENT, LLC
October 7, 2015 - September 6, 2016
SOLENTURE ADVISORS LLC
June 5, 2015 - December 17, 2015
PARTNERVEST ADVISORY SERVICES LLC
November 24, 2014 - June 25, 2015
MIP GLOBAL, INC.
May 3, 2012 - December 14, 2015
RAYLIANT ASSET MANAGEMENT, LLC
April 19, 2012 - December 5, 2012
NEWEDGE SECURITIES, LLC
November 20, 2008 - March 30, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 14, 2008 - March 30, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 27, 2008 - November 18, 2008
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
August 26, 2008 - November 18, 2008
NEWEDGE SECURITIES, LLC
May 5, 2008 - July 28, 2008
FIRST ALLIED SECURITIES, INC.
March 28, 2008 - July 28, 2008
FIRST ALLIED SECURITIES, INC.
August 25, 2005 - December 31, 2006
NEWEDGE SECURITIES, LLC
February 24, 2005 - April 28, 2008
SWEETWATER ASSET MANAGEMENT LLC
July 1, 2003 - December 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - October 11, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
COLUMBUS MACRO, LLC
CRD#: 286374 / SEC#: 801-110635
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 5
Date: 10/8/1987
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 12
Date: 2/20/1982
NYSE Branch Manager ExaminationCurrent Firm
COLUMBUS MACRO, LLC
CRD#: 286374 / SEC#: 801-110635
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,516 |
| AUM (Assets Under Management) | $ 777,327,162 |
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.
