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SR

Sean A. Richardson

ALLSTREET CAPITAL LLC
LOS ANGELES, CA 90017
Some features on this profile are disabled
CRD#: 2760672
SR

Professional summary

Sean Anthony Richardson is a registered financial advisor currently at ALLSTREET CAPITAL LLC located in Los Angeles, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Sean has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
FINRA, ARBITRATOR; START DATE: 04/2014; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 1; INDEPENDENT CONTRACTOR; NOT INVESTMENT RELATED;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Anthony Richardson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 8, 2016 - Present

ALLSTREET CAPITAL LLC

Office #1: 707 Wilshire Blvd Suite 4000, Los Angeles, CA 90017
RIA
CRD#: 283564
LOS ANGELES, CA
Past

June 1, 2009 - August 8, 2016

MORGAN STANLEY

RIA
CRD#: 149777
LOS ANGELES, CA
Past

June 1, 2009 - August 8, 2016

MORGAN STANLEY

BD
CRD#: 149777
LOS ANGELES, CA
Past

February 13, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
LOS ANGELES, CA
Past

February 13, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
LOS ANGELES, CA
Past

April 17, 2003 - March 4, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOS ANGELES, CA
Past

April 17, 2003 - March 4, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LOS ANGELES, CA
Past

July 8, 1997 - April 28, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LOS ANGELES, CA
Past

July 25, 1996 - April 28, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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".
AC
ALLSTREET CAPITAL LLC
ALLSTREET CAPITAL LLC | MLSR, LLC

CRD#: 283564 / SEC#: 801-108018

RIA
Registered Investment Advisory firm - (7/8/2016 Approved)

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
California
(7/8/2016)
IAR
Texas
(7/8/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/20/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/19/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/1996
General Securities Representative Examination

Current Firm

AC
ALLSTREET CAPITAL LLC
ALLSTREET CAPITAL LLC | MLSR, LLC

CRD#: 283564 / SEC#: 801-108018

RIA
Registered Investment Advisory firm - (7/8/2016 Approved)
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Contact information

Main Address
707 Wilshire Blvd Suite 4000, Los Angeles, CA 90017
Mailing Address
Phone number
(213) 443-6791
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/20/2025)
ADV PART 2A, APP 1 - WRAP BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts430
AUM (Assets Under Management)$ 194,000,000

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.

Company Information

ALLSTREET CAPITAL LLC

CRD#: 283564Los Angeles, CA 90017

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