RC
Richard Cecchi
VERITY ASSET MANAGEMENT
RONKONKOMA, NY 11779-7600
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CRD#: 2947705
RC
Professional summary
Richard Cecchi is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Ronkonkoma, New York and VERITY INVESTMENTS, INC. located in Ronkonkoma, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
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.
1.) BRINDISI & CECCHI CPA PC - 10/6/2017 - 399 Conklin Street, Farmingdale, NY 11735- Owner, CPA Practice, Not Invt Rel, CPA business, 260 hrs/mo; 12 hrs/mo (during trading hours). 2.) RICHARD CECCHI CPA - 11/7/2009 - 399 Conklin Street, Farmingdale, NY 11735 - Owner, CPA, Not Invt Rel, CPA business, 260 hrs/mo; 12 hrs/mo (during trading hours). 3.) VERITY ASSET MGMT - 8/1/2020 - 280 S Mangum Street, Suite 550, Durham, NC 27701 - IAR, Advisory Services, Invt Rel, RA business, 160 hrs/mo; 160 hrs/mo (during trading hours). 4.) VERITY FINANCIAL - 8/1/2020 - 280 S Mangum Street, Suite 550, Durham, NC 27701 - Agent, Independent Contractor, Not Invt Rel, Insurance business, 40 hrs/mo; 40 hrs/mo (during trading hours). 5.) WORKMEN'S BENEFIT FUND OF THE USA - 8/7/25 - 24 Christopher Court, Babylon, NY 11702 - National Secretary/Treasurer, Management, Not Invt Rel, Fraternal Insurance Company, 152 hrs/mo; 12 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Richard Cecchi'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 30, 2021 - Present
VERITY ASSET MANAGEMENT
Office #1: 3075 Veterans Memorial Hwy Ste 130, Ronkonkoma, NY 11779-7600RIA
CRD#: 158667
RONKONKOMA, NY
Current
September 2, 2020 - Present
VERITY INVESTMENTS, INC.
Office #1: 3075 Veterans Memorial Highway Suite 130, Ronkonkoma, NY 11779BD
CRD#: 41527
Ronkonkoma, NY
Current
November 11, 2025 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
November 19, 2014 - September 3, 2020
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
FARMINGVILLE, NY
Past
November 22, 2013 - October 15, 2014
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
November 12, 1997 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, 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".
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
RIA
Registered Investment Advisory firm - (5/26/2006 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.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
California(10/13/2020)
RR
Connecticut(11/29/2022)
RR
Florida(10/13/2020)
RR
Georgia(10/13/2020)
RR
Illinois(11/11/2025)
RR
Nebraska(11/29/2021)
RR
New Jersey(10/13/2020)
RR
New York(9/2/2020)
IAR
New York(3/30/2021)
RR
North Carolina(10/13/2020)
IAR
Texas(10/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
RIA
Registered Investment Advisory firm - (5/26/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3676
Mailing Address
Phone number
(919) 490-6717
Established
Firm type
Fiscal year end
# of Employees
67
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
