MR
Mark T. Richman
BELLE HAVEN INVESTMENTS, L.P.
Rye Brook, NY 10573-1301
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CRD#: 1644561
MR
Professional summary
Mark Thomas Richman is a registered financial professional currently at BELLE HAVEN INVESTMENTS, L.P. located in Rye Brook, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Thomas Richman'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
September 10, 2018 - Present
BELLE HAVEN INVESTMENTS, L.P.
Office #1: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301Office #2: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573RIA
BD
CRD#: 29278
Rye Brook, NY
Past
September 8, 1997 - July 9, 2018
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
February 1, 1988 - August 26, 1997
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
March 25, 1987 - March 1, 1988
WESTONKA INVESTMENTS, INC.
BD
CRD#: 15542
MINNETONKA, MN
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".
BH
BELLE HAVEN INVESTMENTS, L.P.
BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS
CRD#: 29278 / SEC#: 801-62290, 8-44222
RIA
Registered Investment Advisory firm - SEC (1/26/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)New York
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Connecticut(1/24/2019)
RR
Minnesota(1/23/2019)
RR
New York(1/24/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BH
BELLE HAVEN INVESTMENTS, L.P.
BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS
CRD#: 29278 / SEC#: 801-62290, 8-44222
RIA
Registered Investment Advisory firm - SEC (1/26/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)New York
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301
Mailing Address
800 Westchester Avenue Suite N607, Rye Brook, NY 10573
Phone number
(914) 816-4633
Established
Connecticut since 03/13/2001
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
47
SEC notice filing (53 States and Territories)
FINRA licenses (34 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 24,433 |
| AUM (Assets Under Management) | $ 20,380,202,747 |
Disclosures
| Regulatory Event | 4 |
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.
