MR
Mark W. Richards
MADISON AVENUE SECURITIES
TIJERAS, NM
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CRD#: 2730478
MR
Professional summary
Mark Wilkinson Richards, who also goes by Mark Wilkinson Dickey, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Tijeras, New Mexico.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Wilkinson Dickey
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.
1)NAME OF BUSINESS: MW RICHARDS FINANCIAL; POSITION: SOLE PROPRIETOR; NATURE: ANNUITY AND LIFE INURANCE SALES; INVESTMENT RELATED: YES; NUMBER OF HOURS: 80 INVESTMENT RELATED HOURS: 80; START DATE: 01/06/1997; ADDRESS: ALBUQUERQUE, NM; DESCRIPTION: SELLING LIFE INSURANCE AND ANNUITIES 2)NAME: MARK RICHARDS (THE ESTATE OF ROSE MARIE VERGA); INV RELATED: YES; ADDRESS: ALBUQUERQUE, NM; NATURE: SETTLING THE ESTATE OF ROSE MARIE VERGA; POSITION: TRUSTEE; START DATE: 01/2018; HOURS/MONTH: 6; TRADING HOURS/MONTH: 6; DUTIES:SELLING HER REAL ESTATE, PAYING DEBTS + BILLS, AND PAYING BENEFICIARIES 3)NAME: BING BING, LLC; INV RELATED: NO; ADDRESS: ALBUQUERQUE, NM; NATURE: MASSAGE THERAPY; POSITION: MANAGER; START DATE: 12/2019; HOURS/MONTH: 8; TRADING HOURS/MONTH: 8; DUTIES: SET UP VENDOR ACCOUNTS. PAY BILLS.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Wilkinson Richards's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Wilkinson 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®
NoneExperience
Current
March 25, 2009 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
TIJERAS, NM
Current
July 24, 2006 - Present
MADISON AVENUE SECURITIES, LLC
RIA
BD
CRD#: 23224
TIJERAS, NM
Past
July 24, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
ALBUQUERQUE, NM
Past
April 24, 2001 - July 24, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALBUQUERQUE, NM
Past
April 17, 2001 - July 24, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
ALBUQUERQUE, NM
Past
May 10, 1996 - April 20, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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(8/13/2013)
RR
California(7/24/2006)
RR
Colorado(7/24/2006)
RR
Florida(11/17/2006)
RR
Indiana(2/3/2021)
RR
Iowa(7/23/2013)
RR
Michigan(5/21/2020)
RR
Nevada(4/30/2021)
RR
New Mexico(7/24/2006)
IAR
New Mexico(3/25/2009)
RR
Ohio(9/24/2025)
RR
Tennessee(6/7/2012)
RR
Texas(7/27/2010)
IAR
Texas(7/28/2010)
RR
Virginia(7/27/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
