Richard S. Spinner
Professional summary
Richard S. Spinner, CFP®, ChFC®, who also goes by Rich Spinner, Richard S Spinner, Richard Scott Spinner, Richard Spinner, is a registered financial advisor currently at CARY STREET PARTNERS located in Morristown, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Richard has worked at 14 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard S. Spinner's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2015
Experience
December 4, 2024 - Present
CARY STREET PARTNERS
Office #1: 1200 Mt. Kemble Avenue Suite 100, Morristown, NJ 07960July 15, 2020 - November 25, 2024
TRANSCEND CAPITAL ADVISORS, LLC
October 22, 2015 - October 15, 2019
EDGE WEALTH MANAGEMENT, LLC
April 7, 2008 - March 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2008 - March 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2005 - February 14, 2008
DEUTSCHE BANK SECURITIES INC.
April 8, 2005 - June 21, 2005
WAMU CAPITAL CORP.
September 30, 2002 - March 15, 2005
SANDLER, O'NEILL & PARTNERS, L.P.
January 31, 2002 - September 24, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 22, 2001 - January 23, 2002
HAPOALIM SECURITIES USA, INC.
May 23, 2001 - August 23, 2001
VISIBLE MARKETS, INC.
November 15, 2000 - June 13, 2001
AK CAPITAL LLC
November 6, 1997 - June 27, 2000
NOMURA SECURITIES INTERNATIONAL, INC.
July 20, 1995 - November 11, 1997
SALOMON BROTHERS INC.
July 5, 1994 - July 21, 1995
CITIGROUP GLOBAL MARKETS INC.
January 1, 1988 - July 11, 1994
NOMURA SECURITIES INTERNATIONAL, INC.
October 22, 1986 - December 9, 1987
SALOMON BROTHERS INC.
Primary Firm SEC Registration
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/4/2024)
Exams
Series 8
Date: 1/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
Red Flags
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