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RR

Richard S. Rankin

Some features on this profile are disabled
CRD#: 2110632
RR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Scott Rankin was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2024 - November 20, 2025

DOCK STREET ASSET MANAGEMENT INC

RIA
CRD#: 111163
Newport, RI
Past

March 28, 2017 - July 9, 2020

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

June 21, 2011 - March 30, 2012

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

April 7, 1998 - March 8, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

July 10, 1991 - March 18, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 7, 1991 - June 21, 1991

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845
NEW YORK, NY

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".
DS
DOCK STREET ASSET MANAGEMENT INC
DOCK STREET ASSET MANAGEMENT INC

CRD#: 111163 / SEC#: 801-43547

RIA
Registered Investment Advisory firm - (3/19/1993 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/22/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/5/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/1991
General Securities Representative Examination

Current Firm

DS
DOCK STREET ASSET MANAGEMENT INC
DOCK STREET ASSET MANAGEMENT INC

CRD#: 111163 / SEC#: 801-43547

RIA
Registered Investment Advisory firm - (3/19/1993 Approved)
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Contact information

Main Address
2875 South Ocean Blvd Suite 200-46, Palm Beach, FL 33480
Mailing Address
Phone number
(203) 532-9470
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DOCK STREET ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts398
AUM (Assets Under Management)$ 905,798,171

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/03/2025
Cover Page
Report
12/05/2023
Cover Page
Report
10/26/2022
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.

Company Information

DOCK STREET ASSET MANAGEMENT INC

CRD#: 111163

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