Richard L. Pinion

PINION FINANCIAL SERVICES

Bethesda, MD 20814

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CRD#: 1152816

Professional summary

Richard Lewis Pinion, CFP®, who also goes by Richard L Pinion, is a registered financial advisor currently at PINION FINANCIAL SERVICES, LLC located in Bethesda, Maryland and OSAIC WEALTH, INC. located in Bethesda, Maryland.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard L Pinion

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. PINION FINANCIAL SERVICES, LLC POSITION: Other - Member of Firm NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1985 ADDRESS: 4500 East West Hwy, Ste 150, Bethesda MD 20814, United States DESCRIPTION: Write individual and group health and life insurance and recruit licensed insurance brokers to do the same. 2. PINION FINANCIAL SERVICES,LLC POSITION: Member/CFP NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 01/01/1999 ADDRESS: 4500 East West Hwy, Ste 150, Bethesda MD 20814, United States DESCRIPTION: Work with a select number of 3rd party money managers to manage my client's assets

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lewis Pinion'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: 2000

Experience

Current

June 13, 2003 - Present

PINION FINANCIAL SERVICES, LLC

Office #1: 4500 East West Hwy Suite 150, Bethesda, MD 20814

RIA

CRD#: 118707

Bethesda, MD

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 4500 East West Highway Suite 150, Bethesda, MD 20814

RIA

CRD#: 23131

Bethesda, MD

Past

January 8, 2007 - March 20, 2008

OSAIC SERVICES, INC.

RIA

CRD#: 133763

CHEVY CHASE, MD

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

CHEVY CHASE, MD

Past

July 19, 1999 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 1, 1996 - July 16, 1999

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

November 20, 1992 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

October 18, 1985 - November 20, 1992

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

October 10, 1984 - October 7, 1985

UR FINANCIAL, INC.

CRD#: 10509

Past

June 19, 1983 - November 19, 1985

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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

Alaska
(9/1/2023)

California
(9/1/2023)

Colorado
(9/1/2023)

Delaware
(9/1/2023)

IAR

District of Columbia
(8/29/2003)

District of Columbia
(9/1/2023)

IAR

Florida
(4/3/2013)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Hawaii
(9/1/2023)

Kentucky
(9/1/2023)

Maine
(9/1/2023)

IAR

Maryland
(4/18/2006)

Maryland
(9/1/2023)

New Jersey
(9/1/2023)

North Carolina
(9/1/2023)

Pennsylvania
(9/1/2023)

South Carolina
(9/1/2023)

Texas
(9/1/2023)

Utah
(9/1/2023)

IAR

Virginia
(6/13/2003)

Virginia
(9/1/2023)

Washington
(9/1/2023)

West Virginia
(9/1/2023)

Wisconsin
(9/1/2023)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 3/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/19/1986

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: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/31/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PINION FINANCIAL SERVICES, LLC

PINION FINANCIAL SERVICES | PINION FINANCIAL SERVICES, LLC | PINION FINANCIAL SERVICES, L.L.C.

CRD#: 118707 / SEC#:

District of Columbia

Registered Investment Advisory firm - (9/14/2000 Approved)

Florida

Registered Investment Advisory firm - (4/3/2013 Approved)

Maryland

Registered Investment Advisory firm - (1/5/2000 Approved)

Texas

Registered Investment Advisory firm - (12/10/2013 Terminated)

Virginia

Registered Investment Advisory firm - (11/10/2000 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

4500 East West Hwy Suite 150, Bethesda, MD 20814

Mailing Address

Phone number

(301) 652-4000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 L. Pinion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lewis Pinion's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NORTH AMERICAN MANAGEMENT, INC.

WS GRIFFITH SECURITIES, INC.

UR FINANCIAL, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/1999

Series 63

Date: 5/19/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

Series 51

Date: 3/31/2003

Series 24

Date: 12/22/1998

FINRA

Current Firm

PINION FINANCIAL SERVICES, LLC

Contact information

Documents

Red Flags

Company Information

PINION FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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