Jeffrey A. Richie
Professional summary
Jeffrey Alan Richie was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Jeffrey had worked at 8 firms, which includes FORTRESS INVESTMENT ADVISORS, AVANZA CAPITAL MARKETS INC., LPL FINANCIAL LLC, VOYA FINANCIAL ADVISORS INC., TRANSAMERICA FINANCIAL ADVISORS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2002 - September 20, 2004
FORTRESS INVESTMENT ADVISORS
September 12, 2002 - December 31, 2002
FORTRESS INVESTMENT ADVISORS
November 13, 2000 - July 8, 2002
FORTRESS INVESTMENT ADVISORS
August 4, 2000 - October 20, 2005
AVANZA CAPITAL MARKETS INC.
July 6, 1998 - June 28, 2000
LPL FINANCIAL LLC
October 30, 1995 - July 2, 1998
VOYA FINANCIAL ADVISORS, INC.
June 27, 1995 - September 28, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 30, 1993 - February 7, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 2, 1992 - April 8, 1993
METROPOLITAN LIFE INSURANCE COMPANY
June 2, 1992 - April 8, 1993
MSI FINANCIAL SERVICES, INC.
May 4, 1990 - May 12, 1992
AMERICAN GENERAL EQUITY SERVICES CORPORATION
September 27, 1988 - March 29, 1990
METROPOLITAN LIFE INSURANCE COMPANY
September 27, 1988 - March 29, 1990
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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