Richard A. Verdi

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CRD#: 4207067

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 A Verdi was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 86, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

November 30, 2018 - July 22, 2020

COKER & PALMER

CRD#: 29163

JACKSON, MS

Past

July 12, 2013 - October 26, 2016

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

October 28, 2011 - March 23, 2012

MLV & CO. LLC

CRD#: 150959

NEW YORK, NY

Past

April 19, 2007 - October 26, 2011

STURDIVANT & CO. INC

CRD#: 24583

MT. LAUREL, NJ

Past

December 8, 2005 - April 2, 2007

BOENNING & SCATTERGOOD, INC.

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

June 23, 2003 - December 15, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WILMINGTON, DE

Past

June 10, 2003 - December 15, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 23, 2001 - May 8, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA

Registered Investment Advisory firm - SEC (2/25/2013 Approved)

Alabama

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/14/2014 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/8/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 8/17/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/15/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/30/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 10/2/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 31

Date: 5/17/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/19/2001

General Securities Representative Examination

Current Firm

COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA

Registered Investment Advisory firm - SEC (2/25/2013 Approved)

Alabama

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/14/2014 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/8/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1667 Lelia Drive, Jackson, MS 39216

Mailing Address

1667 Lelia Drive, Jackson, MS 39216

Phone number

(601) 354-0860

Established

Mississippi since 07/08/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (10 States and Territories)

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

COKER & PALMER ADV PART 2 2025 (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
COKER, JAMES DAVID	CHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OPERATIONS OFFICER / CHIEF LEGAL OFFICER / CCO/PRESIDENT	1238444
GHEE, LORELI ANN	COMPLIANCE OFFICER	1531910

Regulatory assets under management

Total Number of Accounts	428
AUM (Assets Under Management)	$ 244,065,071

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Richard A. Verdi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

MLV & CO. LLC

STURDIVANT & CO. INC

BOENNING & SCATTERGOOD, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COKER & PALMER

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2007

Series 65

Date: 5/15/2001

SIE

Date: 10/26/2016

Series 87

Date: 10/30/2006

Series 86

Date: 10/2/2006

Series 31

Date: 5/17/2001

Series 7

Date: 4/19/2001

Current Firm

COKER & PALMER

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (32 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COKER & PALMER

TRUST BUT VERIFY

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