RR
Robert T. Rickey
STRAIGHTLINE
Massapequa Park, NY
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CRD#: 2224334
RR
Professional summary
Robert Thomas Rickey, CFP®, who also goes by Robert Tom Rickey, is a registered financial advisor currently at STRAIGHTLINE located in Massapequa Park, New York.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Robert has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Tom Rickey
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.
TruNor Consulting and Coaching Services, LLC: 26 McKinley Street, Massapequa Park, NY 11762. Mr. Rickey is the principal and sole owner of TruNor Consulting and Coaching Services, LLC, which provides Consulting Services to businesses and Coaching Services to individuals. Consulting Services are investment related and available to various entities. Coaching Services are not investment related. Mr. Rickey started TruNor on February 7, 2023. Mr. Rickey devotes approximately 32 hours to the Consulting Services each month, consisting of approximately eight (8) hours each week, primarily before and after securities trading hours. Questal, Inc.- not investment-related, 4 West Palisade Ave., Unit 1210, Englewood, NJ 07631. Questal is a financial wellness company that provides digital tools, education, and personalized financial coaching to help individuals manage their finances and achieve financial goals. Questal offers a tech-driven platform with tailored human support designed to address each user's unique financial situation. Questal does not provide financial advice nor sell any investment-related products and is not a registered investment advisor. Investor and advisor to Questal leadership, member of advisory board, December 2024, estimated 12 hours per month devoted to this business, estimated 3 hours devoted to this business during securities trading hours, acting as advisor to Questal leadership leveraging industry knowledge and contacts to support their business objectives. Mr. Rickey is licensed to sell insurance in New York in order to offer such insurance products to clients with insurance needs.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Thomas Rickey's 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®
Experience
Current
July 14, 2023 - Present
STRAIGHTLINE
RIA
CRD#: 127401
Massapequa Park, NY
Past
July 21, 2011 - August 3, 2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
March 8, 2007 - February 18, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
May 21, 2001 - July 21, 2011
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
NEW YORK, NY
Past
August 26, 1998 - May 4, 2001
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
April 10, 1992 - August 8, 1997
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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".
ST
STRAIGHTLINE
STRAIGHTLINE | STRAIGHTLINE GROUP, LLC | STRAIGHTLINE GROUP, L.L.C | STRAIGHTLINE ADVISORS
CRD#: 127401 / SEC#: 801-63408
RIA
Registered Investment Advisory firm - (8/11/2004 Approved)Michigan
Registered Investment Advisory firm - (8/12/2004 Terminated)Ohio
Registered Investment Advisory firm - (8/12/2004 Terminated)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
Michigan(7/14/2023)
IAR
New York(7/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
ST
STRAIGHTLINE
STRAIGHTLINE | STRAIGHTLINE GROUP, LLC | STRAIGHTLINE GROUP, L.L.C | STRAIGHTLINE ADVISORS
CRD#: 127401 / SEC#: 801-63408
RIA
Registered Investment Advisory firm - (8/11/2004 Approved)Michigan
Registered Investment Advisory firm - (8/12/2004 Terminated)Ohio
Registered Investment Advisory firm - (8/12/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
165 Kirts Blvd. Ste 100, Troy, MI 48084-5200
Mailing Address
Phone number
(248) 269-8366
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,731 |
| AUM (Assets Under Management) | $ 1,106,624,742 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2024 | ||
| 12/21/2023 | ||
| 06/07/2022 |
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.
