JR
Joseph R. Richard
ADVISORS CAPITAL MANAGEMENT
PITTSFORD, NY 14534
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CRD#: 2407282
JR
Professional summary
Joseph Robert Richard is a registered financial advisor currently at ADVISORS CAPITAL MANAGEMENT, LLC located in Pittsford, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 5 firms and has passed the Series 65, Series 63, Series 22, Series 6 and Series 26 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) DBA ADVISORS CAPITAL MANAGEMENT, LLC. START DATE 3/2013. 2) ADVISORS CAPITAL MANAGEMENT, LLC. REGISTERED INVESTMENT ADVISOR. START DATE 03/2013. NO CLIENTS INVOLVED. 3)VICE PRESIDENT OF SALES AT ADVISORS CAPITAL MANAGEMENT, LLC. START DATE 03/2013. NO CLIENTS INVOLVED. COMPENSATED VIA SALARY. 160 HOURS PERMONTH, 6.5 HOURS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Robert 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
April 1, 2014 - Present
ADVISORS CAPITAL MANAGEMENT, LLC
Office #1: 145 Sully's Trail, Pittsford, NY 14534RIA
CRD#: 112266
PITTSFORD, NY
Past
August 3, 2004 - October 31, 2013
WALL STREET FINANCIAL GROUP, INC.
RIA
CRD#: 35830
PITTSFORD, NY
Past
April 4, 2002 - October 31, 2013
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
PITTSFORD, NY
Past
July 8, 1999 - November 26, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
December 19, 1997 - June 24, 1999
BOSTON CAPITAL SECURITIES, INC.
BD
CRD#: 14611
BOSTON, MA
Past
August 3, 1994 - March 6, 1996
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
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".
AC
ADVISORS CAPITAL MANAGEMENT, LLC
ACM WEALTH | FOREFRONT WEALTH PLANNING AND ASSET MANAGEMENT | BRIDGEVIEW WEALTH | ADVISORS FINANCIAL CENTER, L.L.C. | ADVISORS CAPITAL MANAGMENT, LLC | ADVISORS CAPITAL MANAGEMENT, LLC
CRD#: 112266 / SEC#: 801-62058
RIA
Registered Investment Advisory firm - (5/16/2003 Approved)Connecticut
Registered Investment Advisory firm - (6/24/2003 Terminated)Florida
Registered Investment Advisory firm - (12/31/2002 Failure to Renew)Kentucky
Registered Investment Advisory firm - (6/16/2003 Terminated)New Jersey
Registered Investment Advisory firm - (6/18/2003 Terminated)New York
Registered Investment Advisory firm - (6/18/2003 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
New Jersey(4/1/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AC
ADVISORS CAPITAL MANAGEMENT, LLC
ACM WEALTH | FOREFRONT WEALTH PLANNING AND ASSET MANAGEMENT | BRIDGEVIEW WEALTH | ADVISORS FINANCIAL CENTER, L.L.C. | ADVISORS CAPITAL MANAGMENT, LLC | ADVISORS CAPITAL MANAGEMENT, LLC
CRD#: 112266 / SEC#: 801-62058
RIA
Registered Investment Advisory firm - (5/16/2003 Approved)Connecticut
Registered Investment Advisory firm - (6/24/2003 Terminated)Florida
Registered Investment Advisory firm - (12/31/2002 Failure to Renew)Kentucky
Registered Investment Advisory firm - (6/16/2003 Terminated)New Jersey
Registered Investment Advisory firm - (6/18/2003 Terminated)New York
Registered Investment Advisory firm - (6/18/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Wilsey Square Suite 200, Ridgewood, NJ 07450
Mailing Address
Phone number
(201) 447-3400
Established
Firm type
Fiscal year end
# of Employees
87
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,670 |
| AUM (Assets Under Management) | $ 9,470,063,452 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ADVISORS CAPITAL MANAGEMENT, LLC
CRD#: 112266Pittsford, NY 14534TRUST BUT VERIFY
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