BR
Barry A. Richey
MADISON AVENUE SECURITIES
Roanoke, TX
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CRD#: 1485112
BR
Professional summary
Barry Alan Richey is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Roanoke, Texas.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Barry has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 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.
NAME:INSURANCE AGENT/PRESIDENT/DIRECTOR (WIN FINANCIAL GROUP, INC); INV RELATED:YES; ADDRESS:220 N. PARK BLVD, SUITE 105 GRAPEVINE TX 76051; NATURE:ASSIST IN HELPING SECURITIES CLIENTS DO INCOME PLANNING; POSITION:INSURANCE AGENT/PRESIDENT/DIRECTOR; START DATE:08/2019; HOURS/MONTH:120; TRADING HOURS/MONTH:120; DUTIES:SALES OF LIFE, LONG TERM CARE+ANNUITY PRODUCTS TO ASSIST IN THE CREATION OF INCOME+ESTATE PLANNING NAME: INSURANCE AND ANNUITY (WIN FINANCIAL GROUP, INC); INV RELATED:YES; ADDRESS:220 N. PARK BLVD, SUITE 105 GRAPEVINE TX 76051; NATURE:USE OF ANNUITIES AND LIFE INSURANCE TO ESTABLISH GUARANTEED PARTS OF A FINANCIAL PLAN; POSITION:DIRECTOR; START DATE:03/04/2003; HOURS/MONTH:120; TRADING HOURS/MONTH:120; DUTIES: MANAGE, MARKETING, SALES, PRESIDENT
CRS (Client Relationship Summary) - RIA
Click below to view Barry Alan Richey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barry Alan Richey's 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®
NoneExperience
Current
August 12, 2019 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
Roanoke, TX
Current
August 12, 2019 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
Roanoke, TX
Past
August 9, 2007 - August 8, 2019
USA FINANCIAL SECURITIES LLC
RIA
CRD#: 103857
Grapevine, TX
Past
September 9, 2003 - August 8, 2019
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
Grapevine, TX
Past
September 1, 2000 - August 27, 2003
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
July 31, 1999 - September 1, 2000
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
May 1, 1996 - December 31, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
October 10, 1995 - April 29, 1996
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 6, 1989 - September 28, 1995
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
December 16, 1988 - December 21, 1988
PSI SECURITIES CORPORATION
BD
CRD#: 10322
Past
August 17, 1987 - November 30, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
April 28, 1986 - August 5, 1987
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
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
RR
Florida(8/26/2019)
RR
Georgia(8/13/2019)
RR
Louisiana(8/13/2019)
RR
Maryland(12/2/2024)
RR
New York(8/14/2019)
RR
Ohio(8/13/2019)
RR
Oklahoma(8/13/2019)
RR
Pennsylvania(4/2/2024)
RR
Texas(8/12/2019)
IAR
Texas(8/12/2019)
RR
Virginia(6/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
