Richard Michael Carr
CFP®, ChFC®, CLU®Professional Summary
Richard Michael Carr, CFP®, ChFC®, CLU®, who also goes by Rich Carr, Richard M Carr, is a registered financial advisor currently at CARR FINANCIAL GROUP located in Worcester, Massachusetts. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate & Legacy Planning
- Investment Management
- Financial Planning
- Retirement Planning
Other Aliases
Rich Carr, Richard M Carr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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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.
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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Credentials
Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
CARR FINANCIAL GROUP | LUCEY ADVISORY GROUP DBA | CARR FINANCIAL GROUP CORPORATION
Contact Information
Main Address
20 Park Avenue Ste #201, Worcester, MA 01605Phone Number
(508) 795-0264# of Employees
9SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,675AUM (Assets Under Management)
$835,932,167Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/29/2026 | Cover Page | Report |
| 05/29/2025 | Cover Page | Report |
| 11/20/2024 | Cover Page | Report |
| 05/30/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CARR FINANCIAL GROUP | LUCEY ADVISORY GROUP DBA | CARR FINANCIAL GROUP CORPORATION
State Registrations and Notice Filings
(4/10/2025)
(3/8/2022)
(7/20/2022)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Carr's CRS (Customer Relationship Summary).
Services Offered by Richard
- Estate & Legacy Planning
- Investment Management
- Financial Planning
- Retirement Planning
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