Richard A. Purkiss
PURKISS CAPITAL ADVISORS
Ridgefield, CT
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CRD#: 1234195
Professional summary
Richard Allen Purkiss JR, CFP®, who also goes by Richard Allen Jr Purkiss, is a registered financial advisor currently at PURKISS CAPITAL ADVISORS, LLC located in Ridgefield, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Richard has worked at 3 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
What are your service offerings?
Investment Planning
Elder Care
Estate Planning
Retirement Planning
Retirement Income Management
Do you have an area of expertise or specialization?
College/Education Planning
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Socially Responsible Investmen...
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Richard Allen Jr Purkiss
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.
NAME OF OBA: WOOSTER SCHOOL; ADDRESS OF OBA: DANBURY, CT 06810; NATURE: INVESTMENT COMMITTEE INVESTMENT RELATED: YES; TITLE WITH OBA: BOARD CHAIR, MEMBER INVESTMENT COMMITTEE; DUTIES: OVERSEE ENDOWMENT AT VANGUARD; START DATE: 09/01/2018; APPROX. NUMBER OF HOURS/MONTH: >1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Richard Allen Purkiss 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®
CFP®
Start date: 2001
Experience
Current
May 15, 2003 - Present
PURKISS CAPITAL ADVISORS, LLC
RIA
CRD#: 124324
Ridgefield, CT
Past
June 20, 1994 - August 13, 1998
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
March 6, 1984 - March 21, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
PC
PURKISS CAPITAL ADVISORS, LLC
PURKISS CAPITAL ADVISORS, INC. | PURKISS CAPITAL ADVISORS, LLC
CRD#: 124324 / SEC#: 801-64777
RIA
Registered Investment Advisory firm - (10/11/2005 Approved)Connecticut
Registered Investment Advisory firm - (10/17/2005 Terminated)New York
Registered Investment Advisory firm - (10/17/2005 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/18/2005 Terminated)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
Connecticut(5/15/2003)
IAR
Texas(9/24/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/10/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PC
PURKISS CAPITAL ADVISORS, LLC
PURKISS CAPITAL ADVISORS, INC. | PURKISS CAPITAL ADVISORS, LLC
CRD#: 124324 / SEC#: 801-64777
RIA
Registered Investment Advisory firm - (10/11/2005 Approved)Connecticut
Registered Investment Advisory firm - (10/17/2005 Terminated)New York
Registered Investment Advisory firm - (10/17/2005 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/18/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Ridgefield, CT
Mailing Address
Phone number
(203) 431-5862
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 337 |
| AUM (Assets Under Management) | $ 633,025,793 |
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.
