Richard A. Beames

BANCROFT CAPITAL

San Mateo, CA 94403

Some features on this profile are disabled

CRD#: 1211632

Professional summary

Richard Albert Beames is a registered financial professional currently at BANCROFT CAPITAL, LLC located in San Mateo, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Albert Beames's CRS (Customer Relationship Summary).

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

December 17, 2020 - Present

BANCROFT CAPITAL, LLC

Office #1: 112 West 25th Avenue, Suite 1, San Mateo, CA 94403

RIA

CRD#: 290665

San Mateo, CA

Past

September 30, 2011 - July 24, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BROOKFIELD, WI

Past

March 27, 1998 - November 3, 2011

STONE & YOUNGBERG LLC

CRD#: 795

NEW YORK, NY

Past

December 22, 1988 - April 2, 1998

PRAGER & CO., LLC

CRD#: 21567

SAN FRANCISCO, CA

Past

September 9, 1987 - October 31, 1988

GLICKENHAUS & CO.

CRD#: 2016

Past

August 26, 1985 - September 9, 1987

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

November 22, 1983 - September 9, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

State Registrations and Notice Filings

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

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

Arizona
(12/17/2020)

California
(12/17/2020)

Colorado
(12/17/2020)

Delaware
(12/17/2020)

Massachusetts
(12/17/2020)

New Jersey
(12/17/2020)

New York
(12/17/2020)

Pennsylvania
(12/17/2020)

Exams

State Security Law Exam

Series 63

Date: 11/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/18/2002

Municipal Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania

Registered Investment Advisory firm - SEC (4/13/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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

501 Office Center Drive Suite 130, Fort Washington, PA 19034

Mailing Address

501 Office Center Drive Suite 130, Fort Washington, PA 19034

Phone number

(484) 686-0346

Established

Pennsylvania since 07/04/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUINN, CAULDON DEAN	CEO	4530968
BANCROFT HOLDINGS, LLC	HOLDING CO.
LINDH, COLLEEN MARNIE	CCO/FINOP	1912150

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard A. Beames

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Albert Beames's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STONE & YOUNGBERG LLC

PRAGER & CO., LLC

GLICKENHAUS & CO.

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/1986

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Series 24

Date: 5/12/2003

Series 53

Date: 12/18/2002

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BANCROFT CAPITAL, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BANCROFT CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors