Scott M. Rich

HUNTLEIGH ADVISORS

Saint Louis, MO 63105

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CRD#: 1958291

Professional summary

Scott Michael Rich is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in Saint Louis, Missouri.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Scott has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 22 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.

KRD ENTERPRISES, LLC (TJ1, LLC & TJ2, LLC), NOT INVESTMENT RELATED; START DATE: 02/2012; 39 WILLOW HILL RD, ST. LOUIS, MO 3 63124, CHIROPRACTIC CLINICS, INVESTOR & MEMBER, 8 HRS/ WEEK, 2 HRS/ WEEK DURING TRADING HOURS. PROVIDE ONGOING BUSINESS ADVICE. TIME DEVOTED TO THIS ACTIVITY WILL BE MINIMAL AFTER START-UP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Rich'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

September 6, 2016 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 7800 Forsyth Blvd 5th Floor, Saint Louis, MO 63105

RIA

CRD#: 113412

Saint Louis, MO

Past

January 6, 2003 - February 3, 2014

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

ST. LOUIS, MO

Past

November 28, 2001 - February 3, 2014

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

ST. LOUIS, MO

Past

April 5, 2000 - September 28, 2016

MINDSHARE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 115736

ST. LOUIS, MO

Past

November 1, 1999 - December 3, 2001

J. MICHAEL-PATRICK, L.L.C.

CRD#: 36990

CLAYTON, MO

Past

July 31, 1995 - October 29, 1999

KENNY SECURITIES CORP.

CRD#: 37552

ST. LOUIS, MO

Past

January 24, 1994 - June 22, 1995

PAULI & COMPANY, INC

CRD#: 24851

ST. LOUIS, MO

Past

June 29, 1989 - December 9, 1992

BROKERS INVESTMENT CORPORATION

CRD#: 16607

CANOGA PARK, CA

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".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(12/13/2016)

IAR

Florida
(9/22/2016)

IAR

Illinois
(9/7/2016)

IAR

Kansas
(12/22/2016)

IAR

Kentucky
(9/8/2016)

IAR

Missouri
(9/6/2016)

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

IAR

Series 65

Date: 4/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/13/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/27/1989

Direct Participation Programs Representative Examination

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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.

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Scott M. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MINDSHARE CAPITAL MANAGEMENT, LLC

J. MICHAEL-PATRICK, L.L.C.

KENNY SECURITIES CORP.

PAULI & COMPANY, INC

BROKERS INVESTMENT CORPORATION

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2000

Series 63

Date: 7/6/1989

Series 7

Date: 12/13/1990

Series 22

Date: 6/27/1989

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

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