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RC

Richard A. Charlton

Some features on this profile are disabled
CRD#: 4269384
RC

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 Adam Charlton, who also goes by Adam Charlton, R. Adam Charlton, Richard A. Charlton, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam Charlton | R. Adam Charlton | Richard A. Charlton

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

July 20, 2015 - October 19, 2015

EK RILEY INVESTMENTS, LLC

RIA
CRD#: 121003
Franklin, TN
Past

July 6, 2015 - October 19, 2015

EK RILEY INVESTMENTS, LLC

BD
CRD#: 121003
Franklin, TN
Past

March 10, 2009 - March 17, 2015

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
FRANKLIN, TN
Past

March 6, 2009 - March 17, 2015

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
FRANKLIN, TN
Past

March 1, 2005 - March 9, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
KNOXVILLE, TN
Past

February 18, 2005 - March 9, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
KNOXVILLE, TN
Past

January 26, 2004 - March 14, 2005

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NASHVILLE, TN
Past

January 23, 2001 - March 14, 2005

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 5/1/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2001
General Securities Representative Examination

Current Firm

ER
EK RILEY INVESTMENTS, LLC
DIAZO WEALTH GROUP AT E.K. RILEY INVESTMENTS, LLC | EK RILEY INVESTMENTS, LLC

CRD#: 121003 / SEC#: 801-78547, 8-65369

BD
Terminated by SEC on 01/01/2021
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Contact information

Main Address
1420 5th Avenue Suite 3300, Seattle, WA 98101
Mailing Address
Phone number
Established
Washington since 05/08/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
EK RILEY & CO., INC.MEMBER
LOUCH, AARON DAVIDCCO / CHIEF FINANCIAL OFFICER2662983

Disclosures

Regulatory Event3

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

EK RILEY INVESTMENTS, LLC

CRD#: 121003

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