Richard E. Greulich

REG CAPITAL ADVISORS

Southport, NC

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CRD#: 1087963

Professional summary

Richard Evans Greulich JR., who also goes by Richard Evans Greulich Jr, is a registered financial advisor currently at REG CAPITAL ADVISORS located in Southport, North Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Richard has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Evans Greulich Jr

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) - RIA

Click below to view Richard Evans Greulich JR.'s 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 9, 2007 - Present

REG CAPITAL ADVISORS

RIA

CRD#: 142625

Southport, NC

Past

January 20, 1983 - December 1, 2000

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

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

North Carolina
(10/30/2023)

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: 6/5/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Current Firm

REG CAPITAL ADVISORS

REG CAPITAL ADVISORS | REG CAPITAL L.L.C.

CRD#: 142625 / SEC#:

New Hampshire

Registered Investment Advisory firm - (12/19/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (12/19/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (10/30/2023 Approved)

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).

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Contact information

Main Address

Southport, NC

Mailing Address

Phone number

(910) 253-5963

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 2,267,609

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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Richard E. Greulich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Evans Greulich JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

REG CAPITAL ADVISORS

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/1995

Series 63

Date: 4/21/1986

Series 7

Date: 1/15/1983

Current Firm

REG CAPITAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REG CAPITAL ADVISORS

TRUST BUT VERIFY

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