Richard P. Perano

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CRD#: 1031645

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 P Perano was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 15, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. E.C.A.E.- Educational Center For Applied Ekistics, Non-Profit, 1009 Alloway Place, SE Atlanta, GA 30316, Nature of business: Proceeds from the sale of Horizon School being used to set up Investment Fund for the purpose of making scholarships to needy students, Position: Board of Directors Member, started 6/13/2019, Devote less than 5 to 10 hours/month outside of securities trading hours, Duties: Floating Advisor. 2. The Community School, Non-Profit, 308 Clairmont Ave., Decatur GA 30030, Non-Investment related, Nature of business: School for children/young adults on Autism spectrum, Position: Board of Directors Member, started 2010, Devote 5 to 10 hours/month outside of securities trading hours, Duties: Secretary/On the Governance Committee.

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

January 6, 2016 - December 5, 2023

REGISTER FINANCIAL ADVISORS, LLC

RIA

CRD#: 143884

ATLANTA, GA

Past

December 9, 2015 - December 5, 2023

REGISTER FINANCIAL ASSOCIATES, INC.

CRD#: 30568

ATLANTA, GA

Past

March 8, 2012 - December 16, 2015

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

ATLANTA, GA

Past

March 8, 2012 - December 16, 2015

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

ATLANTA, GA

Past

May 29, 2008 - March 14, 2012

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

ATLANTA, GA

Past

May 28, 2008 - March 14, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

ATLANTA, GA

Past

September 27, 2005 - May 29, 2008

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ATLANTA, GA

Past

October 16, 2002 - May 29, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

ATLANTA, GA

Past

August 26, 1994 - October 21, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 26, 1989 - August 29, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 27, 1983 - June 6, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

March 8, 1982 - January 12, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 5/26/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 4/19/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/20/1982

General Securities Representative Examination

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

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Contact information

Main Address

3500 Lenox Road Suite 1700, Atlanta, GA 30326

Mailing Address

Phone number

(404) 364-2180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (2/13/2025)

PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	835
AUM (Assets Under Management)	$ 396,907,109

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.

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Advisor Monitoring

Firm Stability Insights

Richard P. Perano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGISTER FINANCIAL ASSOCIATES, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

PERSHING LLC

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

REGISTER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2005

Series 63

Date: 3/11/1982

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 5/26/1983

Series 3

Date: 4/19/1983

Series 7

Date: 2/20/1982

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGISTER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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