NR
Neal P. Richard
RICHARD BROTHERS, FINANCIAL ADVISORS
South Portland, ME 04106
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CRD#: 2229267
NR
Professional summary
Neal Patrick Richard is a registered financial advisor currently at RICHARD BROTHERS, FINANCIAL ADVISORS located in South Portland, Maine and RICHARD BROTHERS SECURITIES located in South Portland, Maine.
Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Neal has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 27 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.
1.) Richard Brothers Financial Advisors; Investment-Related; Firm is a registered Investment Advisory; CFO and Advisor; Started 4/1997; Devote 30hrs/month to this activity.
2.) Marlin Enterprise; Real Estate Holding Co.; Firm manages property; Started 3/2002; owner/manager; Devote 1 hr/week to this activity.
3.) AFX Global Advisors Inc.; Firm is a Maine Insurance Agency; Started 11/2002; Shareholder/Treasurer; Devote 2 hrs/week to this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Neal Patrick Richard'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®
NoneExperience
Current
September 27, 2002 - Present
RICHARD BROTHERS, FINANCIAL ADVISORS
Office #1: 50 Donald B. Dean Drive Suite One, South Portland, ME 04106RIA
CRD#: 113826
South Portland, ME
Current
April 30, 2001 - Present
RICHARD BROTHERS SECURITIES
Office #1: 50 Donald B.dean Drive Suite One, South Portland, ME 04106Office #2: 50 Donald B. Dean Drive Suite One, South Portland, ME 04106BD
CRD#: 105285
South Portland, ME
Past
April 29, 1997 - June 25, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
August 24, 1992 - April 25, 1997
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
May 12, 1992 - September 4, 1992
MCCARLEY AND ASSOCIATES, INC.
BD
CRD#: 16128
GREENVILLE, SC
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".
RB
RICHARD BROTHERS, FINANCIAL ADVISORS
ALLEGIANCE CAPITAL, LLC | RICHARD BROTHERS, FINANCIAL ADVISORS | MARLIN ENTERPRISES, LLC | ALLEGIANCE FINANCIAL GROUP, INC.
CRD#: 113826 / SEC#: 801-122718
RIA
Registered Investment Advisory firm - (11/18/2021 Approved)Maine
Registered Investment Advisory firm - (1/4/2022 Terminated)New Hampshire
Registered Investment Advisory firm - (1/11/2022 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.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
Colorado(2/9/2012)
RR
Florida(9/14/2006)
RR
Georgia(2/10/2005)
RR
Maine(6/12/2001)
IAR
Maine(9/27/2002)
RR
Nevada(3/16/2012)
RR
New Hampshire(1/2/2008)
RR
Rhode Island(1/10/2018)
RR
South Carolina(10/25/2013)
IAR
Texas(12/14/2022)
RR
Virginia(5/27/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RB
RICHARD BROTHERS, FINANCIAL ADVISORS
ALLEGIANCE CAPITAL, LLC | RICHARD BROTHERS, FINANCIAL ADVISORS | MARLIN ENTERPRISES, LLC | ALLEGIANCE FINANCIAL GROUP, INC.
CRD#: 113826 / SEC#: 801-122718
RIA
Registered Investment Advisory firm - (11/18/2021 Approved)Maine
Registered Investment Advisory firm - (1/4/2022 Terminated)New Hampshire
Registered Investment Advisory firm - (1/11/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 Donald B. Dean Drive Suite One, South Portland, ME 04106
Mailing Address
Phone number
(207) 879-2352
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 403 |
| AUM (Assets Under Management) | $ 145,936,579 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RICHARD BROTHERS, FINANCIAL ADVISORS
CRD#: 113826South Portland, ME 04106TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
