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William T. Richey

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CRD#: 375924
WR

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.

William Thomas Richey was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1970. William had worked at 8 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

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

February 11, 2003 - July 21, 2015

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

July 25, 1985 - February 5, 2003

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

BD
CRD#: 8350
DENVER, CO
Past

January 4, 1985 - July 26, 1985

GENESIS CAPITAL CORPORATION

BD
CRD#: 14813
Past

January 29, 1981 - December 27, 1984

RICHEY, FRANKEL & COMPANY

BD
CRD#: 8548
Past

January 5, 1981 - April 6, 1984

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

BD
CRD#: 8350
Past

March 6, 1979 - January 26, 1981

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
Past

July 18, 1973 - January 26, 1981

B. J. LEONARD AND COMPANY, INC.

BD
CRD#: 62
Past

July 15, 1971 - August 12, 1973

SKYLINE SECURITIES CORPORATION

BD
CRD#: 5780
Past

February 18, 1970 - September 9, 1971

MOUNTAIN PACIFIC INVESTMENT COMPANY

BD
CRD#: 1000001

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/21/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 2/11/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 4/27/1973
General Securities Principal Examination

Current Firm

MS
MOLONEY SECURITIES CO., INC.
ADVANCED FINANCIAL SOLUTIONS, LLC | WESTPORT ADVISORY GROUP | WARREN FINANCIAL SERVICES | VANCE CAPITAL | THE RESOURCE PARTNERS GROUP | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SYNERGISTIC FINANCIAL | SUGAR CREEK INVESTMENT ADVISORY GROUP, LLC | STERLING CAPITAL MANAGEMENT | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT, INC. | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SECURUS SENIOR PLANNING SOLUTIONS, LLC | SECURUS | SAT WEALTH MANAGEMENT LLC | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH GROUP | ROYAL ROUTE COMPANY LLC | PROFESSIONAL INVESTMENT MANAGEMENT | PLANNED INVESTMENT CO INC | NMG FINANCIAL SERVICES | NET STREET BROKERAGE | MOSECO ASSET MANAGEMENT | MONETARY MANAGEMENT GROUP, INC. | MOLONEY SECURITIES CO., INC. | MOLONEY SECURITIES ASSET MANAGEMENT | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, INC. | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JIM RAIA INVESTMENT GROUP | JCL CAPITAL MANAGEMENT, LLC | JCL CAPITAL MANAGEMENT | INVESTMENT CENTER OF TOMAHAWK | INVESTMENT CENTER OF ESTES PARK, INC. | INVESTMENT CENTER OF ESTES PARK | INVESTMENT CENTER | HERITAGE INVESTMENT MANAGEMENT, LLP | HERITAGE INVESTMENT MANAGEMENT LLP | GRAND GLAIZE WEALTH MANAGEMENT | GENE PANASENKO, INC. | FIRST MID AMERICA, INC. | EVERHART WEALTH MANAGEMENT LLC | CP WEALTH | CORRIGAN-JONES INVESTMENT ADVISORS | CHRISTIANSON FINANCIAL ADVISORS, LLC | CHANEY & ASSOCIATES | CANDICE MONTIE INSURANCE & INVESTMENTS | C&A FINANCIAL ADVISORS | BRIDGES FINANCIAL ASSOCIATES, INC. | BRIDGES FINANCIAL ASSOCIATES | ATLANTIC SENIOR ADVISORS LLC | ASSET ALLIANCE FINANCIAL | ARTISAN ASSET MANAGEMENT, LLC | ARTISAN ASSET MANAGEMENT | ARLINGTON FINANCIAL SERVICES

CRD#: 38535 / SEC#: 801-64722, 8-48326

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
13537 Barrett Parkway Drive #300, Manchester, MO 63021
Phone number
(314) 909-0600
Established
Missouri since 05/03/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MOLONEY SECURITIES - FORM ADV PART 2A BROCHURE - MARCH 2016 (3/29/2016)

Direct owners and executive officers

NamePositionCRD#
BRIAR GREEN HOLDINGS, INC.OWNER
CORRIGAN, BRIAN PATRICKINVESTOR/DIRECTOR4258969
HANCOCK, DONALD RALPHCHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN828811
HOLOWATUK, WILLIAM JAMESDIRECTOR OF COMPLIANCE6107023
HUME, SCOTT ALLENINVESTOR/DIRECTOR2894512
MEDLEY, JOSEPH RONALD JRINVESTOR/DIRECTOR2619119
MOLONEY, EDWARD JOHN JRPRESIDENT, OFFICER/DIRECTOR3188341
ROSEMAN, JEFFREY PATRICKCHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP6296481
STEEL, GEORGE DONALDINVESTOR/DIRECTOR716992
WIESER, RYAN MATHEWVICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR4940639

Disclosures

Regulatory Event10
Arbitration6

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

MOLONEY SECURITIES CO., INC.

CRD#: 38535

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