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RC

Richard A. Cheever

PURSHE KAPLAN STERLING INVESTMENTS
Los Altos, CA 94022
Some features on this profile are disabled
CRD#: 1926290
RC

Professional summary

Richard Allen Cheever is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Los Altos, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 87, Series 16, Series 7, Series 6 and Series 8 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Allen Cheever'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

October 19, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 240 Third Street Suite 110, Los Altos, CA 94022
BD
CRD#: 35747
Los Altos, CA
Past

November 18, 2019 - February 9, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
SACRAMENTO, CA
Past

October 30, 2015 - November 19, 2019

NORTH BERKELEY WEALTH MANAGEMENT, LLC

RIA
CRD#: 136431
BERKELEY, CA
Past

September 5, 2007 - May 5, 2014

TRUIST SECURITIES, INC.

BD
CRD#: 6271
SAN FRANCISCO, CA
Past

August 8, 2007 - January 23, 2008

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

December 15, 2003 - July 26, 2005

RELEVANT WEALTH ADVISORS, LLC

RIA
CRD#: 1489
LARKSPUR, CA
Past

November 6, 2001 - July 26, 2005

RELEVANT WEALTH ADVISORS, LLC

BD
CRD#: 1489
MILL VALLEY, CA
Past

February 10, 1992 - June 29, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

September 5, 1990 - January 10, 1992

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

February 17, 1989 - June 9, 1989

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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
California
(10/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/17/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 9/2/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 16
Date: 11/21/2003
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/14/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/20/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Los Altos, CA 94022

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