AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RC

Richard Cecchi

VERITY ASSET MANAGEMENT
RONKONKOMA, NY 11779-7600
Some features on this profile are disabled
CRD#: 2947705
RC

Professional summary

Richard Cecchi is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Ronkonkoma, New York and THE LEADERS GROUP, INC. located in Durham, North Carolina.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Cecchi'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

March 30, 2021 - Present

VERITY ASSET MANAGEMENT

Office #1: 3075 Veterans Memorial Hwy Ste 130, Ronkonkoma, NY 11779-7600
RIA
CRD#: 158667
RONKONKOMA, NY
Current

November 11, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 280 S Mangum Street, Suite 550, Durham, NC 27701
BD
CRD#: 37157
Durham, NC
Past

September 2, 2020 - November 20, 2025

VERITY INVESTMENTS, INC.

BD
CRD#: 41527
Ronkonkoma, NY
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
(11/11/2025)
RR
Connecticut
(11/11/2025)
RR
Florida
(11/11/2025)
RR
Georgia
(11/11/2025)
RR
Nebraska
(11/11/2025)
RR
New Jersey
(11/11/2025)
IAR
New York
(3/30/2021)
RR
New York
(11/11/2025)
RR
North Carolina
(11/11/2025)
IAR
Texas
(10/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/1997
General Securities Representative Examination
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

FORM ADV PART 2A (1/5/2026)

Regulatory assets under management

Total Number of Accounts7,199
AUM (Assets Under Management)$ 1,041,329,944

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

VERITY ASSET MANAGEMENT

CRD#: 158667Ronkonkoma, NY 11779-7600

TRUST BUT VERIFY

Monitor Richard Cecchi

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Randy Brickman
Randy BrickmanAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
NORTH WOODMERE, NY
HF
Harlan FischerAdvisorCheck Check Mark
CETERA INVESTMENT ADVISERS LLC
IAR
RR
SETAUKET, NY
GH
Gregory HarrisAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Farmingdale, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.