Brent B. Richardson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brent B Richardson, who also goes by Brent Blayne Richardson, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 2003. Brent had worked at 13 firms and has passed the Series 65, Series 63, Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2018 - June 5, 2019
TRINITY PORTFOLIO ADVISORS, LLC
August 20, 2013 - February 28, 2014
S.G. LONG & COMPANY
August 29, 2012 - February 4, 2013
CORECAP INVESTMENTS, LLC
May 24, 2012 - February 20, 2013
CORECAP ADVISORS
April 6, 2010 - December 31, 2011
BRYN MAWR FINANCIAL, LLC
June 12, 2008 - February 26, 2009
ESSEX NATIONAL SECURITIES, LLC
May 2, 2007 - February 8, 2008
FIRST HEARTLAND CAPITAL, INC.
August 30, 2006 - May 2, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 22, 2005 - January 13, 2006
BROKERSXPRESS LLC
August 30, 2004 - November 8, 2004
INSIGHT SECURITIES, INC.
January 29, 2004 - August 23, 2004
CAMBRIDGE GROUP INVESTMENTS, LTD.
September 9, 2003 - August 27, 2004
J.P. TURNER & COMPANY, L.L.C.
February 20, 2003 - April 23, 2003
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
TRINITY PORTFOLIO ADVISORS, LLC
CRD#: 151721 / SEC#: 801-70663
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRINITY PORTFOLIO ADVISORS, LLC
CRD#: 151721 / SEC#: 801-70663
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,268 |
| AUM (Assets Under Management) | $ 488,219,840 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2025 | ||
| 09/13/2024 | ||
| 10/27/2023 | ||
| 01/26/2023 |
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.
