Richard L. Counts

MAINSTREET RIA LLC

O'FALLON, MO 63368

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CRD#: 2428369

Professional summary

Richard Lee Counts is a registered financial advisor currently at MAINSTREET RIA LLC located in O'fallon, Missouri.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 24, Series 4 and Series 8 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.

RLC LLC, Holding company Non-Investment Related Address: 13180 Huntercreek Ridge Road St Louis MO 63131 Established the LLC to hold Commercial Real Estate Title: Owner Opened said LLC in 2015 upon purchase of an additional piece of property Less than 5 Hours a month. Main job duties include maintaining building and collecting rent. ?Full Legal Business Name: Counts Oldham Properties LLC ?Is the Business investment-related? (yes/no): No ?Address: 3 Inland Ct, Wright City, MO 63390 ?What is the nature of the other business? The holding LLC for the building that was purchased for Mainstreet RIA LLC. ?Your position, title, or relationship: owners-members ?Start date of your relationship (mm/year): 3/2021 ?Approximate hours a month spent on the other business: 3 ?Approximate hours during trading spent on the other business: same as above, 3 hours per month total ?Briefly describe your duties relating to the other business: NA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Counts'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

August 24, 2020 - Present

MAINSTREET RIA LLC

Office #1: 6700 Keaton Corporate Parkway Suite 102, O'fallon, MO 63368

RIA

CRD#: 309150

O'FALLON, MO

Past

June 5, 2007 - September 23, 2020

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

June 5, 2007 - September 23, 2020

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

June 7, 2004 - November 28, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

ST. PETERS, MO

Past

June 2, 2004 - November 28, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 19, 2004 - June 2, 2004

MAIN STREET MANAGEMENT COMPANY

RIA

CRD#: 547

ST LOUIS, MO

Past

February 17, 2004 - June 2, 2004

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

October 3, 2002 - January 20, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CLAYTON, MO

Past

September 4, 2002 - January 20, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 29, 2001 - August 14, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

December 8, 1997 - October 1, 2001

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

Past

October 16, 1997 - December 16, 1997

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 3, 1995 - October 28, 1997

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

CLAYTON, MO

Past

December 20, 1993 - March 20, 1995

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

MAINSTREET RIA LLC

CRD#: 309150 / SEC#: 801-121454

RIA

Registered Investment Advisory firm - (6/8/2021 Approved)

Missouri

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Missouri
(8/24/2020)

IAR

Texas
(1/14/2022)

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

IAR

Series 65

Date: 6/22/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/12/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/14/1995

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/16/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MAINSTREET RIA LLC

CRD#: 309150 / SEC#: 801-121454

RIA

Registered Investment Advisory firm - (6/8/2021 Approved)

Missouri

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2021 Terminated)

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Contact information

Main Address

6700 Keaton Corporate Parkway Suite 102, O'fallon, MO 63368

Mailing Address

Phone number

(888) 801-0325

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC ADV PART 2 (1/15/2025)

Regulatory assets under management

Total Number of Accounts	209
AUM (Assets Under Management)	$ 392,246,687

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. Counts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Counts's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MAIN STREET MANAGEMENT COMPANY

MAIN STREET MANAGEMENT COMPANY

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

LASALLE ST SECURITIES, L.L.C.

EISNER SECURITIES, INC.

INVEST FINANCIAL CORPORATION

COMMERCE BROKERAGE SERVICES, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

MAINSTREET RIA LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2001

Series 63

Date: 1/3/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1993

Series 51

Date: 10/12/2007

Series 24

Date: 8/31/2007

Series 4

Date: 6/14/1995

Series 8

Date: 1/16/1995

Current Firm

MAINSTREET RIA LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAINSTREET RIA LLC

TRUST BUT VERIFY

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