Richard L. Sendell

CIRCLE ADVISERS

New York, NY 10170

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CRD#: 2318291

Professional summary

Richard Leroy Sendell III, who also goes by Richard Leroy Sendell, is a registered financial advisor currently at CIRCLE ADVISERS INC located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Leroy Sendell

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.

Insurance Agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leroy Sendell III'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 4, 2021 - Present

CIRCLE ADVISERS INC

Office #1: 420 Lexington Avenue Suite 2500, New York, NY 10170

RIA

CRD#: 110818

New York, NY

Past

June 5, 2006 - October 21, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

NEW YORK, NY

Past

April 4, 2003 - January 12, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

October 28, 2002 - May 1, 2003

PINNACLE ASSOCIATES, LTD.

RIA

CRD#: 110631

NEW YORK, NY

Past

December 14, 2000 - December 3, 2002

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

NEW YORK, NY

Past

March 31, 1999 - November 30, 2000

GOLDEN HARRIS CAPITAL GROUP, INC.

CRD#: 13889

WEST ORANGE, NJ

Past

February 14, 1995 - February 17, 1998

NEUBERGER BERMAN BD LLC

CRD#: 2908

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".

CIRCLE ADVISERS INC

CRD#: 110818 / SEC#: 801-18150

RIA

Registered Investment Advisory firm - (1/5/1983 Approved)

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

New York
(9/4/2021)

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

Series 63

Date: 4/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/13/1995

General Securities Representative Examination

Current Firm

CIRCLE ADVISERS INC

CRD#: 110818 / SEC#: 801-18150

RIA

Registered Investment Advisory firm - (1/5/1983 Approved)

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Contact information

Main Address

420 Lexington Avenue Suite 2500, New York, NY 10170

Mailing Address

Phone number

(212) 885-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/26/2024)

Regulatory assets under management

Total Number of Accounts	1,184
AUM (Assets Under Management)	$ 819,802,922

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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Advisor Monitoring

Firm Stability Insights

Richard L. Sendell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leroy Sendell III's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

CHASE INVESTMENT SERVICES CORP.

PINNACLE ASSOCIATES, LTD.

MATRIX CAPITAL GROUP, INC.

GOLDEN HARRIS CAPITAL GROUP, INC.

NEUBERGER BERMAN BD LLC

Primary Firm SEC Registration

CIRCLE ADVISERS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/3/1995

Series 7

Date: 2/13/1995

Current Firm

CIRCLE ADVISERS INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CIRCLE ADVISERS INC

TRUST BUT VERIFY

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