Richard A. Seapy

GLACIER POINT ADVISORS

Tustin, CA 92780

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CRD#: 4311214

Professional summary

Richard Allen Seapy is a registered financial advisor currently at GLACIER POINT ADVISORS, LLC located in Tustin, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Richard has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 4, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Richard Allen Seapy'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

June 3, 2015 - Present

GLACIER POINT ADVISORS, LLC

Office #1: 2522 Chambers Road Suite 206, Tustin, CA 92780

RIA

CRD#: 219515

Tustin, CA

Past

May 11, 2015 - June 22, 2015

VYGR DIGITAL SECURITIES, LLC

RIA

CRD#: 148019

IRVINE, CA

Past

December 26, 2013 - April 9, 2015

VYGR DIGITAL SECURITIES, LLC

CRD#: 148019

NEW YORK, NY

Past

December 5, 2008 - April 9, 2015

VYGR DIGITAL SECURITIES, LLC

RIA

CRD#: 148019

NEWPORT BEACH, CA

Past

April 25, 2006 - September 9, 2008

ECHOTRADE LLC

CRD#: 42239

PHOENIX, AZ

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
(6/3/2015)

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: 1/9/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/19/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 4/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/22/2013

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2013

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 2/7/2013

Financial and Operations Principal Examination

Current Firm

GLACIER POINT ADVISORS, LLC

CRD#: 219515 / SEC#:

Alabama

Registered Investment Advisory firm - (2/2/2022 Terminated)

California

Registered Investment Advisory firm - (6/2/2015 Approved)

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

2522 Chambers Road Suite 206, Tustin, CA 92780

Mailing Address

Phone number

(714) 573-4062

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 7,944,000

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

Richard A. Seapy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allen Seapy's CRS (Customer Relationship Summary).

Certified licenses

Experience

VYGR DIGITAL SECURITIES, LLC

VYGR DIGITAL SECURITIES, LLC

VYGR DIGITAL SECURITIES, LLC

ECHOTRADE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/2013

Series 65

Date: 11/19/2008

SIE

Date: 4/9/2015

Series 7

Date: 1/3/2013

Series 4

Date: 3/22/2013

Series 24

Date: 3/7/2013

Series 27

Date: 2/7/2013

Current Firm

GLACIER POINT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLACIER POINT ADVISORS, LLC

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