Richard James Bell
Professional Summary
Richard James Bell is a registered financial advisor currently at SEARLE & CO. located in Middletown, Rhode Island. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
SEARLE & CO.
Contact Information
Main Address
333 Greenwich Ave., Greenwich, CT 06830Mailing Address
333 Greenwich Ave., Greenwich, CT 06830Phone Number
(203) 869-4800Established
Connecticut since 11/22/1982Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
13SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
FINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
129AUM (Assets Under Management)
$629,892,525Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SEARLE & CO.
State Registrations and Notice Filings
(10/5/2005)
(6/29/2010)
(10/5/2005)
(10/5/2005)
(10/5/2005)
(8/17/2011)
(4/20/2006)
(11/8/2011)
(9/8/2006)
(10/5/2005)
(8/12/2011)
(10/5/2005)
(8/17/2011)
(4/17/2006)
(10/5/2005)
(11/16/2009)
(8/17/2011)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard James Bell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James Bell's CRS (Customer Relationship Summary).
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