Richard J. Bell

SEARLE & CO.

Middletown, RI

Some features on this profile are disabled

CRD#: 1468480

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Vermont Spirits White River Junction VT non-investment related firm - Distillery - Shareholder - OCT 2, 2020 - 1 hour month - 1 hour month trade day - provides informal transitional advice to Board.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard James Bell'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

October 5, 2005 - Present

SEARLE & CO.

RIA

CRD#: 13035

Middletown, RI

Current

October 5, 2005 - Present

SEARLE & CO.

Office #1: 333 Greenwich Ave, Greenwich, CT 06830

RIA

CRD#: 13035

Greenwich, CT

Past

March 3, 2004 - October 25, 2005

BELLE HAVEN INVESTMENTS, L.P.

RIA

CRD#: 29278

GREENWICH, CT

Past

June 26, 2000 - August 17, 2005

LOUGHLIN CAPITAL MANAGEMENT, L.P.

RIA

CRD#: 113438

GREENWICH, CT

Past

October 23, 1991 - October 25, 2005

BELLE HAVEN INVESTMENTS, L.P.

CRD#: 29278

RYE BROOK, NY

Past

August 22, 1991 - October 23, 1991

HOLCOMB, STEVENS SECURITIES, INC

CRD#: 22830

Past

April 1, 1987 - August 28, 1991

GLICKENHAUS & CO.

CRD#: 2016

NEW YORK, NY

Past

May 1, 1986 - March 19, 1987

JPMSI

CRD#: 15733

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".

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/5/2005)

Colorado
(6/29/2010)

Connecticut
(10/5/2005)

IAR

Connecticut
(10/5/2005)

Florida
(10/5/2005)

Indiana
(8/17/2011)

Maryland
(4/20/2006)

Minnesota
(11/8/2011)

Missouri
(9/8/2006)

New Jersey
(10/5/2005)

New Mexico
(8/12/2011)

New York
(10/5/2005)

Pennsylvania
(8/17/2011)

Rhode Island
(4/17/2006)

Texas
(10/5/2005)

Vermont
(11/16/2009)

Virginia
(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

State Security Law Exam

IAR

Series 65

Date: 5/25/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/28/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/6/1997

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (11/27/2024)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 648,957,944

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard J. Bell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

SEARLE & CO.

BELLE HAVEN INVESTMENTS, L.P.

LOUGHLIN CAPITAL MANAGEMENT, L.P.

BELLE HAVEN INVESTMENTS, L.P.

HOLCOMB, STEVENS SECURITIES, INC

GLICKENHAUS & CO.

JPMSI

Primary Firm SEC Registration

SEARLE & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2000

Series 63

Date: 3/18/1986

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Series 24

Date: 5/28/1999

Series 53

Date: 8/6/1997

FINRA

Current Firm

SEARLE & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SEARLE & CO.

TRUST BUT VERIFY

Contact information

Similar Advisors