Richard T. Sale

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CRD#: 1546740

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Tiffy Sale IV, who also goes by Richard Sale, Richard Tiffy Sale, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Sale | Richard Tiffy Sale

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 29, 2019 - October 8, 2025

BRIGHT INVESTMENTS, LLC

RIA

CRD#: 269955

Glenwood Springs, CO

Past

September 17, 2018 - December 26, 2018

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

Nashville, TN

Past

April 25, 2011 - October 3, 2018

AVONDALE PARTNERS, LLC

CRD#: 46838

NASHVILLE, TN

Past

February 9, 2007 - April 21, 2011

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

BRENTWOOD, TN

Past

May 17, 2001 - December 15, 2006

&PARTNERS

CRD#: 3767

NASHVILLE, TN

Past

July 17, 2000 - February 26, 2001

KNIGHT BONDPOINT, INC.

CRD#: 102580

ATLANTA, GA

Past

September 14, 1989 - August 9, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

March 27, 1987 - September 21, 1989

DORSEY & COMPANY, INC.

CRD#: 1668

NEW ORLEANS, LA

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".

BRIGHT INVESTMENTS, LLC

CRD#: 269955 / SEC#: 801-120845

RIA

Registered Investment Advisory firm - (4/16/2021 Approved)

Alabama

Registered Investment Advisory firm - (4/21/2021 Terminated)

Arkansas

Registered Investment Advisory firm - (4/21/2021 Terminated)

Colorado

Registered Investment Advisory firm - (4/26/2021 Terminated)

Florida

Registered Investment Advisory firm - (4/21/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (4/28/2021 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/29/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 2/15/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/31/1986

Municipal Securities Principal Examination

Current Firm

BRIGHT INVESTMENTS, LLC

CRD#: 269955 / SEC#: 801-120845

RIA

Registered Investment Advisory firm - (4/16/2021 Approved)

Alabama

Registered Investment Advisory firm - (4/21/2021 Terminated)

Arkansas

Registered Investment Advisory firm - (4/21/2021 Terminated)

Colorado

Registered Investment Advisory firm - (4/26/2021 Terminated)

Florida

Registered Investment Advisory firm - (4/21/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (4/28/2021 Terminated)

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Contact information

Main Address

570 Devall Drive Suite 303, Auburn, AL 36832

Mailing Address

Phone number

(334) 321-2321

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 139,769,621

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/16/2023	Cover Page	Report
10/12/2022	Cover Page	Report

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 T. Sale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

AVONDALE PARTNERS, LLC

ROSS, SINCLAIRE & ASSOCIATES, LLC

&PARTNERS

KNIGHT BONDPOINT, INC.

J.C. BRADFORD & CO.

DORSEY & COMPANY, INC.

Primary Firm SEC Registration

BRIGHT INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2019

Series 63

Date: 3/16/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

Series 52

Date: 2/15/1983

Series 24

Date: 9/24/1987

Series 53

Date: 7/31/1986

Current Firm

BRIGHT INVESTMENTS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRIGHT INVESTMENTS, LLC

TRUST BUT VERIFY

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