Richard M. Chase

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CRD#: 3175454

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.

Richard Mark Chase, who also goes by Richard M Chase, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard M Chase

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 2014 - July 27, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

HOLYOKE, MA

Past

January 26, 1999 - May 26, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 6, 1995 - February 9, 2015

FWM CONSULTING, INC.

RIA

CRD#: 130506

HOLYOKE, MA

Past

June 5, 1984 - December 1, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 27, 1983 - June 24, 1983

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/28/1985

National Commodity Futures Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard M. Chase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

FWM CONSULTING, INC.

LEHMAN BROTHERS INC.

UNDERWOOD, NEUHAUS & CO., INCORPORATED

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/1995

Series 63

Date: 2/2/1983

Series 7

Date: 1/21/1999

Series 3

Date: 1/28/1985

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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