Richard Steven Foster
Professional Summary
Richard Steven Foster is a registered financial advisor currently at FOLGER NOLAN FLEMING DOUGLAS INCORPORATED located in Washington, District Of Columbia. Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4, Series 14, Series 24, Series 10, Series 9, Series 28 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
Contact Information
Main Address
725 15th Street N.w. 2nd Floor, Suite 200, Washington, DC 20005-2109Mailing Address
725 15th Street N.w., Washington, DC 20005-2109Phone Number
(202) 783-5252Established
Delaware since 11/27/1931Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
44SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLGER ASSOCIATES LLC | OWNER | — |
| FOLGER 2020 TRUST FOR NEIL C. FOLGER | OWNER | — |
| FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER | OWNER | — |
| CURRENT, JOHN RANDALL | DIRECTOR, EXECUTIVE VICE-PRESIDENT | 2020187 |
| FOLGER, LEE MERRITT | DIRECTOR, SENIOR ADVISOR | 210685 |
| FOLGER, NEIL CLIFFORD | DIRECTOR, CHAIRMAN OF THE BOARD | 2813165 |
| FOLGER, NEIL CLIFFORD | TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST | 2813165 |
| FOSTER, RICHARD STEVEN | PFO, POO | 1655391 |
| FOSTER, RICHARD STEVEN | CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP | 1655391 |
| FOSTER, RICHARD STEVEN | COO | 1655391 |
| HILL, CHRISTOPHER GEDDY | CHIEF COMPLIANCE OFFICER | 4234339 |
Regulatory Assets Under Management
Total Number of Accounts
262AUM (Assets Under Management)
$797,351,870Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2003About the Series 9 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Aug 2003About the Series 28 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Steven Foster's CRS (Customer Relationship Summary).
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