Albert D. Richards

Some features on this profile are disabled

CRD#: 1574709

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.

Albert Davidson Richards was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1986. Albert had worked at 4 firms and has passed the Series 63, Series 87, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

July 11, 2007 - March 29, 2021

ALAMBIC INVESTMENT MANAGEMENT, L.P.

RIA

CRD#: 143336

SAN FRANCISCO, CA

Past

November 28, 1997 - September 26, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 15, 1994 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

October 22, 1986 - August 16, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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.

Exams

State Security Law Exam

Series 63

Date: 11/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 1/20/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 16

Date: 7/16/1994

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/1996

General Securities Principal Examination

Current Firm

ALAMBIC INVESTMENT MANAGEMENT, L.P.

ALAMBIC INVESTMENT MANAGEMENT | ALAMBIC INVESTMENT MANAGEMENT, L.P.

CRD#: 143336 / SEC#: 801-99344

RIA

Registered Investment Advisory firm - (3/29/2021 Terminated)

California

Registered Investment Advisory firm - (7/16/2015 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).

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

266 Beach Road, Belvedere, CA 94920

Mailing Address

Phone number

(415) 495-4900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ALAMBIC INVESTMENT MANAGEMENT, L.P. - FORM ADV PART 2A (4/30/2020)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
California	ERA - Active	5/4/2021

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Albert D. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALAMBIC INVESTMENT MANAGEMENT, L.P.

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/1986

Series 87

Date: 1/20/2005

Series 16

Date: 7/16/1994

Series 7

Date: 10/18/1986

Series 24

Date: 5/18/1996

Current Firm

ALAMBIC INVESTMENT MANAGEMENT, L.P.

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

ALAMBIC INVESTMENT MANAGEMENT, L.P.

TRUST BUT VERIFY

Similar Advisors