AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JR

Jeffrey S. Rich

Some features on this profile are disabled
CRD#: 4152452
JR

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.

Jeffrey Stuart Rich, who also goes by Jeffrey Rich, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 9 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Rich

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

May 18, 2020 - December 31, 2024

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
RIDGEWOOD, NJ
Past

April 3, 2012 - April 24, 2019

RELIANCE WORLDWIDE INVESTMENTS, LLC

BD
CRD#: 143546
GURNEE, IL
Past

April 13, 2011 - August 10, 2011

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

November 8, 2007 - January 22, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

July 5, 2005 - January 8, 2007

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW CANAAN, CT
Past

November 23, 2004 - July 5, 2005

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

June 16, 2003 - September 17, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

January 18, 2002 - June 11, 2003

LION'S GROUP TRADING LLC

BD
CRD#: 113642
NEW YORK, NY
Past

May 9, 2000 - July 11, 2001

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

April 14, 2000 - May 30, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 14, 2000 - May 30, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
IAR
Series 66
Date: 5/4/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/24/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 6/1/2000
Limited Representative-Equity Trader Exam

Current Firm

FP
FOUR POINTS CAPITAL PARTNERS LLC
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Phone number
(212) 257-5240
Established
Texas since 07/23/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
5M HOLDINGS LLCMANAGING MEMBER
GRAY, JOHN CLARKECHIEF FINANCIAL OPERATIONS OFFICER / CFO1367440
MARTINO, MICHAEL CHRISTOPHERCHIEF EXECUTIVE OFFICER2579146
MURPHY, GENE RYANCHIEF OPERATIONS OFFICER4739772
TOOKE, JEFFREY ACHIEF COMPLIANCE OFFICER, AMLCO5621579

Disclosures

Regulatory Event1

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

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

TRUST BUT VERIFY

Monitor Jeffrey Rich

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics