RA
Richard H. Alley
STRONGHOLD WEALTH MANAGEMENT L.L.C.
TAMPA, FL 33606
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CRD#: 2760535
RA
Professional summary
Richard Hamilton Alley, who also goes by Rich Alley, is a registered financial advisor currently at STRONGHOLD WEALTH MANAGEMENT L.L.C. located in Tampa, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Alley
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. Real Estate Ownership; Commercial; Tampa, FL 33606; Investment Related; Oct 2012. Business Ownership; Lionfish Capital Holdings, LLC; President; Holding Company; Tampa, FL 33629; July 2012; 1-2 hours per month. 2. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative. 3. Insurance Agent, 10 hours per year. 4. Business Ownership; Mountain Lion Capital, LLC; Managing Member; Real Estate Holding Company; Tampa, FL 33629; Investment Related; Oct 2022; 1-2 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Hamilton Alley'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
July 9, 2016 - Present
STRONGHOLD WEALTH MANAGEMENT L.L.C.
Office #1: 1005 W. Cleveland Street, Tampa, FL 33606RIA
CRD#: 161194
TAMPA, FL
Past
July 11, 1996 - July 11, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
TAMPA, FL
Past
July 8, 1996 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 8, 1996 - July 11, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
TAMPA, FL
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".
SW
STRONGHOLD WEALTH MANAGEMENT L.L.C.
HARVARD ADVISORS, L.L.C. | STRONGHOLD WEALTH MANAGEMENT L.L.C. | STRONGHOLD WEALTH MANAGEMENT
CRD#: 161194 / SEC#: 801-126054
RIA
Registered Investment Advisory firm - (7/25/2022 Approved)Florida
Registered Investment Advisory firm - (8/10/2022 Terminated)Georgia
Registered Investment Advisory firm - (8/24/2022 Terminated)Oklahoma
Registered Investment Advisory firm - (8/10/2022 Terminated)Texas
Registered Investment Advisory firm - (8/10/2022 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(7/13/2016)
IAR
Georgia(7/15/2016)
IAR
Texas(7/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SW
STRONGHOLD WEALTH MANAGEMENT L.L.C.
HARVARD ADVISORS, L.L.C. | STRONGHOLD WEALTH MANAGEMENT L.L.C. | STRONGHOLD WEALTH MANAGEMENT
CRD#: 161194 / SEC#: 801-126054
RIA
Registered Investment Advisory firm - (7/25/2022 Approved)Florida
Registered Investment Advisory firm - (8/10/2022 Terminated)Georgia
Registered Investment Advisory firm - (8/24/2022 Terminated)Oklahoma
Registered Investment Advisory firm - (8/10/2022 Terminated)Texas
Registered Investment Advisory firm - (8/10/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1005 West Cleveland Street, Tampa, FL 33606
Mailing Address
Phone number
(813) 775-7099
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 572 |
| AUM (Assets Under Management) | $ 150,000,464 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
