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Daniel Jorge Richmond

Investment Adviser Representative at RICHMOND CAPITAL

Miami, FLCRD #4704875Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
2 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Daniel Jorge Richmond has worked in the securities industry since 2004. They are registered to provide investment advisory services in Florida and New York.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
FloridaNew York
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/3/2003
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 12/6/2003
Series 7
General Securities Representative Examination
Passed 11/2/2003

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Income Portfolio0.80%
High Income Portfolio0.90%
Income & Growth Portfolio1.00%
Moderate Growth Portfolio1.10%
Aggressive Growth Portfolio1.20%
Multisector Equity Portfolio1.20%
Account minimum: $100,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Richmond Capital Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RICHMOND CAPITALCurrent
7/17/2023Miami, FL
MORA CAPITAL MANAGEMENT, LLCCurrent
12/10/2012Miami, FL
LPL FINANCIAL LLC
8/25/20099/25/2012Miami, FL
UBS INTERNATIONAL INC.
7/18/20064/30/2009Miami, FL
MERRILL LYNCH PIERCE FENNER & SMITH INC.
3/2/20056/6/2006Miami, FL
MORGAN STANLEY
12/9/20038/13/2004Miami, FL

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Jorge Richmond has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Daniel Jorge Richmond - Financial Advisor in Miami, FL | AdvisorFinder