Richard E. Zimmerman

WE FAMILY OFFICES

New York, NY 10020

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CRD#: 1321879

Professional summary

Richard Ervin Zimmerman, who also goes by Richard Zimmerman, is a registered financial advisor currently at WE FAMILY OFFICES located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Zimmerman

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.

Richard serves on the Ceres President's Council, Earth Charter International Council, Earth Charter Associates Board, Riverkeeper Advisory Board, and Capital Institute Board.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Ervin Zimmerman'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

September 7, 2021 - Present

WE FAMILY OFFICES

Office #1: 1270 Avenue Of The Americas, Ste 2101, New York, NY 10020

RIA

CRD#: 109869

New York, NY

Past

April 29, 2010 - August 5, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

November 9, 2005 - May 30, 2008

BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442

NEW YORK, NY

Past

October 20, 2004 - October 4, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

GREENWICH, CT

Past

October 20, 2004 - October 4, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

December 4, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

GREENWICH, CT

Past

May 13, 2002 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 3, 2000 - January 19, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

April 15, 1998 - February 4, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

January 26, 1998 - March 16, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

January 5, 1993 - February 3, 1998

JPMSI

CRD#: 15733

NEW YORK, NY

Past

January 23, 1985 - January 24, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

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".

WE FAMILY OFFICES

CRD#: 109869 / SEC#: 801-60025

RIA

Registered Investment Advisory firm - (2/14/2001 Approved)

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

New York
(9/7/2021)

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: 2/23/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/31/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/23/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

WE FAMILY OFFICES

CRD#: 109869 / SEC#: 801-60025

RIA

Registered Investment Advisory firm - (2/14/2001 Approved)

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Contact information

Main Address

2811 Ponce De Leon Blvd Suite 840, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 825-2225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WE FAMILY OFFICES FORM ADV 2A BROCHURE 3-31-2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	107
AUM (Assets Under Management)	$ 15,364,800,717

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 E. Zimmerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Ervin Zimmerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

BESSEMER INVESTOR SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMSI

SBC WARBURG DILLON READ INC.

JPMSI

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

WE FAMILY OFFICES

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2000

Series 63

Date: 2/10/1993

SIE

Date: 8/5/2016

Series 7

Date: 12/31/1992

Series 24

Date: 6/30/1994

Series 8

Date: 6/23/1994

Current Firm

WE FAMILY OFFICES

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WE FAMILY OFFICES

TRUST BUT VERIFY

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