Mark A. Richey

ASSET SOLUTIONS

LITTLETON, CO 80123

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CRD#: 1106405

Professional summary

Mark Alvin Richey, CFP® is a registered financial advisor currently at ASSET SOLUTIONS, INC. located in Littleton, Colorado and GENEOS WEALTH MANAGEMENT, INC. located in Littleton, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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)DBA:OWNER OF ASSET SOLUTIONS, INC. AN INVESTMENT RELATED BUSINESS LOCATED AT BRANCH LOCATION-APPROXIMATELY 40 HOURS PER YEAR ARE DEVOTED TO GIVING CLASSES FOR MEMBERS OF FEDERAL GOVERNMENT AGENCIES EXPLAINING CIVIL SERVICE, RETIREMENT, LIFE AND HEALTH INSURANCE BENEFITS. DURING THESE HOURS, HE IS ALSO ENGAGED IN FINANCIAL PLANNING WHICH ENTAILS THE CREATION OF CASH FLOW, RETIREMENT PROJECTIONS, AND ESTATE CALCULATIONS ON A CLIENT-BY-CLIENT BASIS. 2)INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED INSURANCE BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alvin Richey'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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

January 1, 1999 - Present

ASSET SOLUTIONS, INC.

Office #1: 8441 West Bowles Avenue Suite 225, Littleton, CO 80123

RIA

CRD#: 113717

LITTLETON, CO

Current

October 2, 2007 - Present

GENEOS WEALTH MANAGEMENT, INC.

Office #1: 8441 West Bowles Ave Suite #225, Littleton, CO 80123

RIA

CRD#: 120894

Littleton, CO

Past

October 4, 2007 - December 31, 2008

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

ENGLEWOOD, CO

Past

June 10, 1987 - October 4, 2007

RICHEY FINANCIAL GROUP, INC.

CRD#: 17113

LITTLETON, CO

Past

March 23, 1983 - June 25, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Colorado
(1/1/1999)

Colorado
(10/2/2007)

IAR

Florida
(8/11/2016)

IAR

Texas
(8/18/2009)

Utah
(1/5/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASSET SOLUTIONS, INC.

ASSET SOLUTIONS | RICHEY, MARK ALVIN | RICHEY, MARK A. | ASSET SOLUTIONS, INC.

CRD#: 113717 / SEC#: 801-64121

RIA

Registered Investment Advisory firm - (6/18/2012 Terminated)

Colorado

Registered Investment Advisory firm - (6/14/2012 Approved)

Florida

Registered Investment Advisory firm - (8/11/2016 Approved)

Texas

Registered Investment Advisory firm - (5/17/2016 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

8441 West Bowles Avenue Suite 225, Littleton, CO 80123

Mailing Address

Phone number

(303) 932-2288

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	693
AUM (Assets Under Management)	$ 89,048,391

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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Mark A. Richey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alvin Richey's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET SOLUTIONS, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

RICHEY FINANCIAL GROUP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 24

Date: 12/11/1987

FINRA

Current Firm

ASSET SOLUTIONS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASSET SOLUTIONS, INC.

TRUST BUT VERIFY

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