GR
Gary T. Richards
WORLD EQUITY GROUP
Arlington Heights, IL 60004
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CRD#: 2466785
GR
Professional summary
Gary Thomas Richards, CFP® is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Arlington Heights, Illinois.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Gary has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4 and Series 24 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.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Thomas Richards's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary Thomas Richards'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®
CFP®
Start date: 2001
Experience
Current
November 6, 1997 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1650 N. Arlington Heights Road, Ste 206, Arlington Heights, IL 60004RIA
BD
CRD#: 29087
Arlington Heights, IL
Current
August 9, 1994 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1650 N. Arlington Heights Road, Ste 206, Arlington Heights, IL 60004RIA
BD
CRD#: 29087
Arlington Heights, IL
Past
April 18, 1994 - August 3, 1994
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Arizona(1/4/2002)
IAR
Arizona(4/23/2019)
RR
Arkansas(4/22/2019)
IAR
Arkansas(4/22/2019)
RR
California(6/28/2001)
IAR
California(4/22/2019)
RR
Colorado(1/3/2018)
RR
Florida(11/1/2002)
IAR
Florida(5/22/2019)
RR
Georgia(4/18/2019)
IAR
Georgia(4/23/2019)
RR
Hawaii(10/8/2025)
RR
Illinois(8/9/1994)
IAR
Illinois(11/6/1997)
RR
Indiana(4/22/2019)
IAR
Indiana(4/22/2019)
RR
Iowa(8/23/1994)
IAR
Iowa(1/3/2023)
RR
Maryland(1/2/2020)
IAR
Maryland(1/2/2020)
RR
Massachusetts(10/6/2024)
IAR
Massachusetts(10/17/2024)
RR
Michigan(1/3/2011)
IAR
Michigan(4/22/2019)
RR
Minnesota(10/11/2018)
IAR
Minnesota(10/12/2018)
RR
Missouri(1/3/2011)
IAR
Missouri(4/22/2019)
RR
Montana(4/22/2019)
RR
Nevada(8/21/2018)
IAR
Nevada(9/6/2018)
RR
New Jersey(1/3/2018)
IAR
New Jersey(4/23/2019)
RR
New York(11/14/2016)
IAR
New York(5/6/2025)
RR
North Carolina(7/31/2012)
IAR
North Carolina(4/18/2019)
RR
Ohio(4/23/2019)
IAR
Ohio(4/23/2019)
RR
Oklahoma(10/12/2021)
IAR
Oklahoma(10/12/2021)
RR
Oregon(4/22/2019)
IAR
Oregon(4/22/2019)
RR
Pennsylvania(4/22/2019)
IAR
Pennsylvania(4/22/2019)
RR
South Carolina(5/26/2017)
IAR
South Carolina(4/22/2019)
RR
Tennessee(4/22/2019)
RR
Texas(1/3/2018)
IAR
Texas(4/22/2019)
RR
Utah(4/22/2019)
RR
Virginia(1/27/2000)
IAR
Virginia(4/22/2019)
RR
Washington(10/3/2011)
IAR
Washington(4/22/2019)
RR
Wisconsin(1/4/2002)
IAR
Wisconsin(8/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
