Richard L. Elliott

FACET

Venice, FL

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CRD#: 2370514

Professional summary

Richard Lawrence Elliott, CFP® is a registered financial advisor currently at FACET located in Venice, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 9 firms and has passed the Series 63, Series 66, Series 65, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lawrence Elliott'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®

CFP^®

Certified Financial Planner

Experience

Current

January 16, 2020 - Present

FACET

RIA

CRD#: 285961

Venice, FL

Past

May 14, 2018 - January 9, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

NORTH ANDOVER, MA

Past

April 17, 2018 - January 9, 2020

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

NORTH ANDOVER, MA

Past

May 25, 2017 - March 9, 2018

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Tampa, FL

Past

March 5, 2007 - November 10, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BOSTON, MA

Past

February 20, 2007 - November 10, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BOSTON, MA

Past

May 31, 2006 - February 5, 2007

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

April 5, 2002 - October 1, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 30, 1997 - April 8, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

July 7, 1993 - February 5, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 7, 1993 - February 5, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 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

Florida
(1/16/2020)

IAR

Massachusetts
(4/6/2020)

IAR

Texas
(2/25/2021)

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: 11/28/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/27/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/15/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1993

General Securities Representative Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	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.

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Firm Stability Insights

Richard L. Elliott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lawrence Elliott's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MERCER GLOBAL ADVISORS INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

SIGNATOR INVESTORS, INC.

MORGAN STANLEY DW INC.

FIDELITY BROKERAGE SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/2018

Series 66

Date: 2/27/2007

Series 65

Date: 7/15/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1993

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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