Richard M. Stimpson

LEAVELL INVESTMENT MANAGEMENT

Mobile, AL 36602

Some features on this profile are disabled

CRD#: 1714381

Professional summary

Richard Moore Stimpson is a registered financial advisor currently at LEAVELL INVESTMENT MANAGEMENT, INC. located in Mobile, Alabama.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Richard has worked at 4 firms and has passed the Series 63, Series 7, Series 52 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Richard Moore Stimpson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 17, 2006 - Present

LEAVELL INVESTMENT MANAGEMENT, INC.

Office #1: 210 Saint Joseph Street, Mobile, AL 36602

RIA

CRD#: 107890

Mobile, AL

Past

February 8, 2002 - March 10, 2006

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

January 8, 2002 - February 14, 2002

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

BIRMINGHAM, AL

Past

August 3, 1987 - January 30, 1991

FIRST FUNDS, INC.

CRD#: 17415

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".

LEAVELL INVESTMENT MANAGEMENT, INC.

LEAVELL INVESTMENT MANAGEMENT, INC. | T.LEAVELL & ASSOCIATES, INC | LEAVELL INVESTMENTS

CRD#: 107890 / SEC#: 801-14752

RIA

Registered Investment Advisory firm - (7/23/1979 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(5/17/2006)

IAR

Texas
(1/3/2013)

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

Series 63

Date: 2/8/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/7/2002

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/4/1987

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEAVELL INVESTMENT MANAGEMENT, INC.

LEAVELL INVESTMENT MANAGEMENT, INC. | T.LEAVELL & ASSOCIATES, INC | LEAVELL INVESTMENTS

CRD#: 107890 / SEC#: 801-14752

RIA

Registered Investment Advisory firm - (7/23/1979 Approved)

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

210 Saint Joseph Street, Mobile, AL 36602

Mailing Address

210 Saint Joseph Street, Mobile, AL 36602

Phone number

(251) 433-3709

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A MARCH 17, 2025 (3/17/2025)

Regulatory assets under management

Total Number of Accounts	2,847
AUM (Assets Under Management)	$ 2,967,145,153

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/29/2025	Cover Page	Report
10/25/2023	Cover Page	Report
01/26/2023	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.

Similar Advisors

Franklin Little

NYLIFE SECURITIES LLC

MOBILE, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard M. Stimpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Moore Stimpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERNE, AGEE & LEACH, INC.

INTL CUSTODY & CLEARING SOLUTIONS INC.

FIRST FUNDS, INC.

Primary Firm SEC Registration

LEAVELL INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2002

Series 7

Date: 1/7/2002

Series 52

Date: 9/4/1987

Series 6

Date: 7/31/1987

Current Firm

LEAVELL INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEAVELL INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors