AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RF

Richard A. Finger

Some features on this profile are disabled
CRD#: 4432634
RF

Professional summary

Richard Allan Finger JR. was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Richard had worked at 6 firms, which includes BLACK DIAMOND SECURITIES LLC, FIRST WASHINGTON CORPORATION, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., PIPER SANDLER & CO., UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 17, 2011 - December 2, 2011

BLACK DIAMOND SECURITIES LLC

BD
CRD#: 151228
KIRKLAND, WA
Past

March 7, 2008 - February 10, 2011

FIRST WASHINGTON CORPORATION

RIA
CRD#: 6681
SEATTLE, WA
Past

March 6, 2008 - February 10, 2011

FIRST WASHINGTON CORPORATION

BD
CRD#: 6681
SEATTLE, WA
Past

April 2, 2007 - February 20, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SEATTLE, WA
Past

April 2, 2007 - February 20, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SEATTLE, WA
Past

July 14, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SEATTLE, WA
Past

July 14, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SEATTLE, WA
Past

July 28, 2004 - July 17, 2006

PIPER SANDLER & CO.

RIA
CRD#: 665
SEATTLE, WA
Past

March 10, 2004 - July 17, 2006

PIPER SANDLER & CO.

BD
CRD#: 665
SEATTLE, WA
Past

September 24, 2001 - March 10, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/14/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 6/16/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2011
General Securities Principal Examination

Current Firm

BD
BLACK DIAMOND SECURITIES LLC
BLACK DIAMOND SECURITIES LLC | HIVETRADER, LLC

CRD#: 151228 / SEC#: , 8-68347

BD
Cancelled by SEC on 09/28/2023
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Virginia since 06/23/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FINGER, RICHARD ALLAN JR.CHIEF EXECUTIVE OFFICER4432634
FOSTER, ESTEE DORFMANFINANCIAL OPERATIONS PRINCIPAL2696529
KOTH, JOHN MICHAELCHIEF COMPLIANCE OFFICER, ROSFP1760032

Disclosures

Regulatory Event2
Civil Event1

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

BLACK DIAMOND SECURITIES LLC

CRD#: 151228

TRUST BUT VERIFY

Monitor Richard Finger

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics