Richard A. Passafiume
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 Anthony Passafiume, who also goes by Rich Passafiume, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 5 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - February 29, 2024
GRANITE INVESTMENT PARTNERS, LLC
July 14, 2006 - May 3, 2011
TRANSAMERICA CAPITAL, LLC
June 28, 2006 - July 14, 2006
TRANSAMERICA CAPITAL, LLC
March 31, 2004 - May 3, 2011
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
May 17, 1999 - July 6, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 24, 1995 - May 20, 1999
AFSG SECURITIES CORPORATION
Primary Firm SEC Registration
GRANITE INVESTMENT PARTNERS, LLC
CRD#: 150632 / SEC#: 801-70383
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GRANITE INVESTMENT PARTNERS, LLC
CRD#: 150632 / SEC#: 801-70383
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,491 |
| AUM (Assets Under Management) | $ 2,440,961,643 |
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.
