Gary Thomas Richards
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173Phone Number
(847) 342-1700Established
Illinois since 09/13/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
165SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,999AUM (Assets Under Management)
$1,001,368,180Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(1/4/2002)
(4/23/2019)
(4/22/2019)
(4/22/2019)
(6/28/2001)
(4/22/2019)
(1/3/2018)
(11/1/2002)
(5/22/2019)
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(4/23/2019)
(10/8/2025)
(8/9/1994)
(11/6/1997)
(4/22/2019)
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(8/23/1994)
(1/3/2023)
(1/2/2020)
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(10/6/2024)
(10/17/2024)
(1/3/2011)
(4/22/2019)
(10/11/2018)
(10/12/2018)
(1/3/2011)
(4/22/2019)
(4/22/2019)
(8/21/2018)
(9/6/2018)
(1/3/2018)
(4/23/2019)
(11/14/2016)
(5/6/2025)
(7/31/2012)
(4/18/2019)
(4/23/2019)
(4/23/2019)
(10/12/2021)
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(4/22/2019)
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(4/22/2019)
(5/26/2017)
(4/22/2019)
(4/22/2019)
(1/3/2018)
(4/22/2019)
(4/22/2019)
(1/27/2000)
(4/22/2019)
(10/3/2011)
(4/22/2019)
(1/4/2002)
(8/16/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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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).
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