RS
Richard A. Speers
PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
Raleigh, NC 27615
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CRD#: 3193075
RS
Professional summary
Richard Altland Speers is a registered financial advisor currently at PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC located in Raleigh, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 3 firms and has passed the Series 65, Series 63 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. 01/1999-PRESENT: CHOPLIN, HARP & SPEERS, LLC/NON INVESTMENT-RELATED/129 W. BELLE ST, HENDERSON, NC 27536/TAX & MANAGEMENT CONSULTING/MANAGING MEMBER/8 HOURS PER MONTH/4 HOURS DURING TRADING HOURS/PREPARE BOOKS AND TAX RETURNS FOR LLC; PREPARE TAX RETURNS FOR PEOPLE, TRUSTS, ESTATES, AND BUSINESS ENTITIES 2. 01/2003 - PRESENT: BIG HOUSE REAL ESTATE PARTNERS LLC/INVESTMENT-RELATED/129 W. BELLE ST, HENDERSON, NC 27536/REAL ESTATE/MANAGING MEMBER/1 HOUR PER MONTH/NO DUTIES 3. 01/2001-PRESENT: DABNEY WEST, LLC/INVESTMENT-RELATED/129 W. BELLE ST, HENDERSON, NC 27536/REAL ESTATE/ MANAGING MEMBER/1 HOUR PER MONTH/NO DUTIES 4.FALCON FINANCIAL CORP/INVESTMENT-RELATED/129 W. BELLE ST, HENDERSON, NC 27536/REAL ESTATE/MANAGING MEMBER/1 HOUR PER MONTH/NO DUTIES 5.02/2001-PRESENT: VELLEROS, INC./NON-INVESTMENT-RELATED/PO BOX 151, MORRISVILLE, NC 27560/TELECOMMUNICATIONS/BOARD MEMBER/8 HOURS PER MONTH, 1 HOUR DURING TRADING HOURS/SERVES ON THE BOARD OF DIRECTORS 6. 07/2015 - PRESENT: SIX FORKS AND WIND CHIME LLC/INVESTMENT-RELATED/134 WIND CHIME COURT, RALEIGH, NC 27615/REAL ESTATE/MANAGING MEMBER/1 HOUR PER MONTH/NO DUTIES 7. NORTH CAROLINA STATE INVESTMENT FUND, YES, 1220 VARSITY DR. SUITE 140 WESTERN BOULEVARD SERVICES BUILDING. RALEIGH, NC 27695, NORTH CAROLINA STATE UNIVERSITY ENDOWMENT FUND, BOARD OF DIRECTORS, APRIL 3, 2024, ROUGHLY 2 1/2 HOURS PER MONTH. MEETINGS ARE 8 HOURS ONCE PER QUARTER. ROUGHLY 2 1/2 HOURS PER MONTH. MEETINGS ARE 8 HOURS ONCE PER QUARTER, WILL VOTE ON THE ASSET ALLOCATION BREAKDOWN OF THE ENDOWMENT FUND.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Altland Speers'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
February 17, 2010 - Present
PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
Office #1: 134 Wind Chime Court, Raleigh, NC 27615Office #2: 129 W. Belle Street, Henderson, NC 27536RIA
CRD#: 149889
Raleigh, NC
Past
January 31, 2005 - October 12, 2009
HAMLETT INVESTMENT PLANNING
RIA
CRD#: 118698
HENDERSON, NC
Past
January 10, 2003 - December 31, 2004
HAMLETT INVESTMENT PLANNING
RIA
CRD#: 118698
HENDERSON, NC
Past
December 19, 2001 - January 7, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
HENDERSON, NC
Past
March 24, 1999 - October 1, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HENDERSON, NC
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".
PW
PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
MAPLE MONEY MANAGEMENT LLC | PWM OF NC | PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
CRD#: 149889 / SEC#: 801-108507
RIA
Registered Investment Advisory firm - (10/10/2016 Approved)North Carolina
Registered Investment Advisory firm - (10/25/2016 Terminated)Texas
Registered Investment Advisory firm - (10/25/2016 Terminated)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.Highlighted states indicate IAR registrations
IAR
North Carolina(2/17/2010)
IAR
Texas(4/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PW
PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
MAPLE MONEY MANAGEMENT LLC | PWM OF NC | PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
CRD#: 149889 / SEC#: 801-108507
RIA
Registered Investment Advisory firm - (10/10/2016 Approved)North Carolina
Registered Investment Advisory firm - (10/25/2016 Terminated)Texas
Registered Investment Advisory firm - (10/25/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
129 W. Belle Street, Henderson, NC 27536
Mailing Address
Phone number
(252) 492-8694
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 669 |
| AUM (Assets Under Management) | $ 146,669,769 |
Red Flags
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Company Information
PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
CRD#: 149889Raleigh, NC 27615TRUST BUT VERIFY
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