Richard B. Marsden

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CRD#: 2476829

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Brian Marsden, who also goes by Richard B Marsden, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard B Marsden

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 registered representative is employed by member's parent firm, Madison Investment Holdings, Inc., 550 Science Drive, Madison, WI 53711 and provides services to its affiliated investment adviser firms, including Madison Investment Advisors, LLC and Madison Asset Management, LLC. See item 12 for information regarding start date and position held. Hours vary but will be during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 25, 2023 - November 3, 2023

MADISON INVESTMENT ADVISORS, LLC

RIA

CRD#: 110297

MADISON, WI

Past

May 24, 2023 - November 3, 2023

MFD DISTRIBUTOR, LLC

CRD#: 44930

MADISON, WI

Past

October 26, 2021 - April 20, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

ALBUQUERQUE, NM

Past

October 6, 2021 - April 15, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ALBUQUERQUE, NM

Past

September 1, 2017 - December 15, 2020

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

SANTA FE, NM

Past

June 29, 2017 - December 15, 2020

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

March 2, 2006 - July 11, 2017

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

January 1, 2004 - February 24, 2006

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PHILADELPHIA, PA

Past

January 1, 2004 - February 24, 2006

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PHILADELPHIA, PA

Past

May 28, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

BALA CYNWYD, PA

Past

January 10, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

January 5, 1995 - December 2, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 13, 1994 - December 19, 1994

RUSSO SECURITIES INC.

CRD#: 14425

STATEN ISLAND, NY

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".

MADISON INVESTMENT ADVISORS, LLC

MADISON INVESTMENT ADVISORS, LLC | MOSAIC FUNDS | MADISON SCOTTSDALE | MADISON MOSAIC LLC | MADISON MOSAIC FUNDS

CRD#: 110297 / SEC#: 801-52751

RIA

Registered Investment Advisory firm - (8/29/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/31/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/22/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/22/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/12/1994

General Securities Representative Examination

Current Firm

MADISON INVESTMENT ADVISORS, LLC

MADISON INVESTMENT ADVISORS, LLC | MOSAIC FUNDS | MADISON SCOTTSDALE | MADISON MOSAIC LLC | MADISON MOSAIC FUNDS

CRD#: 110297 / SEC#: 801-52751

RIA

Registered Investment Advisory firm - (8/29/1996 Approved)

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Contact information

Main Address

550 Science Drive, Madison, WI 53711

Mailing Address

Phone number

(608) 274-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MIA MAS DISCLOSURE BROCHURE WITH SMC (3/28/2025)

MIA GENERAL DISCLOSURE BROCHURE WITH SMC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,949
AUM (Assets Under Management)	$ 13,346,155,459

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 B. Marsden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MFD DISTRIBUTOR, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

SENTINEL FINANCIAL SERVICES COMPANY

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

MORGAN STANLEY DW INC.

RUSSO SECURITIES INC.

Primary Firm SEC Registration

MADISON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2017

Series 65

Date: 10/22/1996

Series 63

Date: 7/5/1994

SIE

Date: 10/1/2018

Series 31

Date: 5/22/1995

Series 7

Date: 4/12/1994

Current Firm

MADISON INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MADISON INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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