Neville E. Richardson

ALPHA PRIVATE WEALTH ADVISORS LLC

SAN FRANCISCO, CA 94111

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CRD#: 4275361

Professional summary

Neville Earl Richardson, who also goes by Neville E. Richardson, Neville Earl Richardson Jr., is a registered financial advisor currently at ALPHA PRIVATE WEALTH ADVISORS LLC located in San Francisco, California.

Neville is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Neville has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neville E. Richardson | Neville Earl Richardson Jr.

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.

RICHMOND COLLEGE PREP - ATTEND BOARD MEETINGS - VICE CHAIR - START 07-2009 - RICHMOND, CA - 3 HRS PER MO DRNG BSNSS HRS - ZERO HRS DRNG NON-BSNSS HRS - NO CONFLICT OF INTEREST

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neville Earl Richardson'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®

None

Experience

Current

October 1, 2014 - Present

ALPHA PRIVATE WEALTH ADVISORS LLC

Office #1: 50 California Street Suite 1500, San Francisco, CA 94111

RIA

CRD#: 172724

SAN FRANCISCO, CA

Past

September 20, 2013 - October 27, 2014

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

SAN FRANCISCO, CA

Past

September 20, 2013 - October 27, 2014

HILLTOP SECURITIES INC.

CRD#: 6220

SAN FRANCISCO, CA

Past

July 29, 2005 - September 24, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BERKELEY, CA

Past

July 29, 2005 - September 24, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BERKELEY, CA

Past

February 8, 2005 - July 26, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

HERCULES, CA

Past

January 27, 2005 - July 26, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

September 20, 2004 - October 11, 2004

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

July 15, 2004 - September 13, 2004

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 30, 2004 - July 7, 2004

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

Past

January 9, 2003 - May 1, 2003

A.B. WATLEY, INC.

CRD#: 797

NEW YORK, NY

Past

September 9, 2002 - September 24, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

December 14, 2000 - September 9, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

November 21, 2000 - September 10, 2002

REDI GLOBAL TECHNOLOGIES LLC

CRD#: 41924

NEW YORK, NY

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

California
(10/1/2014)

IAR

Texas
(3/1/2016)

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

IAR

Series 66

Date: 2/7/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/23/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/27/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/9/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/2001

General Securities Principal Examination

Current Firm

ALPHA PRIVATE WEALTH ADVISORS LLC

ALPHA PRIVATE WEALTH ADVISORS LLC | SAN FRANCISCO FINANCIAL PLANNING GROUP LLC

CRD#: 172724 / SEC#: 801-80286

RIA

Registered Investment Advisory firm - (4/6/2015 Terminated)

California

Registered Investment Advisory firm - (4/3/2015 Approved)

Texas

Registered Investment Advisory firm - (3/1/2016 Conditional Restricted)

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).

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Contact information

Main Address

50 California Street Suite 1500, San Francisco, CA 94111

Mailing Address

Phone number

(415) 704-8900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 25,000,000

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

Neville E. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neville Earl Richardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CARILLON INVESTMENTS, INC.

SUNAMERICA SECURITIES, INC.

LIGHTSPEED PROFESSIONAL TRADING LLC

A.B. WATLEY, INC.

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

REDI GLOBAL TECHNOLOGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2005

Series 63

Date: 2/23/2001

SIE

Date: 10/27/2014

Series 55

Date: 2/9/2001

Series 7

Date: 12/13/2000

Series 24

Date: 6/13/2001

Current Firm

ALPHA PRIVATE WEALTH ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALPHA PRIVATE WEALTH ADVISORS LLC

TRUST BUT VERIFY

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