RA
Richard W. Addis
MILESTONE INVESTMENTS
Charlotte, NC 28277-0729
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CRD#: 3143354
RA
Professional summary
Richard Woodrow Addis JR, AIF®, who also goes by Rick Addis, is a registered financial advisor currently at MILESTONE INVESTMENTS, INC. located in Charlotte, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Addis
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.
Richard W. Addis, Jr., 9409 Belmont Ln, Marvin NC 28173, independent licensed insurance agent, 5/1998 to current, offering benefits consulting, employee group benefits, life, health, disability & LTC insurance sales and service through unaffiliated insurance companies, investment related, approximately 5 -10 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Woodrow Addis JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Woodrow Addis JR'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®
Experience
Current
November 5, 2003 - Present
MILESTONE INVESTMENTS, INC.
Office #1: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729Office #2: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729RIA
BD
CRD#: 47090
Charlotte, NC
Current
November 5, 2003 - Present
MILESTONE INVESTMENTS, INC.
Office #1: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729Office #2: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729RIA
BD
CRD#: 47090
Charlotte, NC
Past
March 1, 2002 - November 17, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
December 31, 2000 - October 24, 2003
C.P. ADVISORY SERVICES
RIA
CRD#: 118052
CHARLOTTE, NC
Past
June 22, 2000 - December 21, 2001
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
BD
CRD#: 40596
HARTFORD, CT
Past
November 20, 1998 - May 3, 2000
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
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".
MI
MILESTONE INVESTMENTS, INC.
MILESTONE INVESTMENTS, INC.
CRD#: 47090 / SEC#: 801-123585, 8-51664
RIA
Registered Investment Advisory firm - SEC (4/4/2022 Approved)North Carolina
Registered Investment Advisory firm - SEC (4/11/2022 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/7/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
North Carolina(11/5/2003)
IAR
North Carolina(11/5/2003)
RR
South Carolina(11/5/2003)
IAR
South Carolina(1/16/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MILESTONE INVESTMENTS, INC.
MILESTONE INVESTMENTS, INC.
CRD#: 47090 / SEC#: 801-123585, 8-51664
RIA
Registered Investment Advisory firm - SEC (4/4/2022 Approved)North Carolina
Registered Investment Advisory firm - SEC (4/11/2022 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/7/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
10700 Sikes Place Suite 315, Charlotte, NC 28277-0729
Mailing Address
10700 Sikes Place Suite 315, Charlotte, NC 28277-0729
Phone number
(704) 716-2749
Established
North Carolina since 02/17/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2
SEC notice filing (3 States and Territories)
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 227,487,702 |
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.
