Richard Eller

SPIRE WEALTH MANAGEMENT

Norwalk, CT 06851

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CRD#: 1409368

Professional summary

Richard Eller, who also goes by Rich Eller, is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Norwalk, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Eller

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.

IAR OF SPIRE WEALTH MANAGEMENT - INCLUDES BLUEPRINT 401K SERVICES. INSURANCE AGENT/SALES. AFEA: Educator and Teacher; 12/28/2022; Present a pre-approved Social Security and Retirement Workshop and answer questions; 10-15 hours/month; no compensation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Eller'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

February 11, 2010 - Present

SPIRE WEALTH MANAGEMENT, LLC

Office #1: 162 East Avenue Suite 2 B, Norwalk, CT 06851Office #2: 2180 Immokalee Rd. Suite 206, Naples, FL 34110

RIA

CRD#: 113908

Norwalk, CT

Past

February 18, 2010 - April 13, 2012

SPIRE SECURITIES, LLC

CRD#: 144131

WESTPORT, CT

Past

July 30, 2007 - February 18, 2010

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WESTPORT, CT

Past

July 2, 2007 - February 18, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

WESTPORT, CT

Past

August 19, 1998 - June 29, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

WESTPORT, CT

Past

September 21, 1992 - June 29, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

WESTPORT, CT

Past

August 3, 1988 - October 15, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 23, 1985 - August 5, 1988

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

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".

SPIRE WEALTH MANAGEMENT, LLC

LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA

Registered Investment Advisory firm - (8/17/2001 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

Connecticut
(2/11/2010)

IAR

Florida
(11/4/2021)

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: 6/19/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/2/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/1987

General Securities Principal Examination

Current Firm

SPIRE WEALTH MANAGEMENT, LLC

LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA

Registered Investment Advisory firm - (8/17/2001 Approved)

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Contact information

Main Address

7901 Jones Branch Dr. Suite 810, Mclean, VA 22102

Mailing Address

7901 Jones Branch Drive Suite 800, Mclean, VA 22102

Phone number

(703) 657-6060

Established

Firm type

Fiscal year end

# of Employees

165

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 SPIRE WEALTH MANAGEMENT ADV 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	15,808
AUM (Assets Under Management)	$ 4,617,171,037

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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Firm Stability Insights

Richard Eller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SPIRE SECURITIES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

FIRST INTERREGIONAL EQUITY CORP.

Primary Firm SEC Registration

SPIRE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/1997

Series 63

Date: 11/1/1985

Series 7

Date: 10/18/1986

Series 6

Date: 10/2/1985

Series 24

Date: 3/16/1987

Current Firm

SPIRE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIRE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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