Richard A. Stone
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 Alan Stone was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1990 - April 17, 2019
WEALTHSPIRE ADVISORS
March 23, 1985 - April 3, 2001
ASSOCIATED SECURITIES CORP.
January 12, 1978 - January 22, 1985
FINANCIAL PLANNERS EQUITY CORPORATION
May 8, 1973 - February 11, 1978
SOUTHMARK FINANCIAL SERVICES, INC.
April 9, 1968 - June 10, 1973
EQUITY FUNDING SECURITIES CORP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/1/1968
Registered Representative ExaminationSeries 00
Date: 6/21/1973
General Securities Principal ExaminationCurrent Firm
WEALTHSPIRE ADVISORS
CRD#: 110666 / SEC#: 801-20857
Contact information
Regulatory assets under management
| Total Number of Accounts | 944 |
| AUM (Assets Under Management) | $ 2,819,336,852 |
Red Flags
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