Richard L. Jarvis
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 Lee Jarvis was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2017 - January 19, 2021
IRONVINE CAPITAL PARTNERS, LLC
March 13, 2015 - February 4, 2017
SADDLE ROAD PARTNERS, LLC
March 16, 2005 - December 31, 2010
QUASAR DISTRIBUTORS, LLC
August 23, 2004 - January 12, 2015
WESTWOOD WEALTH MANAGEMENT
August 8, 2000 - September 27, 2004
MCCARTHY GROUP ASSET MANAGEMENT
January 28, 1987 - January 12, 2005
MCCARTHY & CO.
Primary Firm SEC Registration
IRONVINE CAPITAL PARTNERS, LLC
CRD#: 168892 / SEC#: 801-108956
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IRONVINE CAPITAL PARTNERS, LLC
CRD#: 168892 / SEC#: 801-108956
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 516 |
| AUM (Assets Under Management) | $ 1,098,482,929 |
Red Flags
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