Richard A. Funk

BRAZOS CAPITAL

Austin, TX 78701

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CRD#: 4423609

Professional summary

Richard Anthony Funk, CFP® is a registered financial advisor currently at BRAZOS CAPITAL located in Austin, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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.

(1) BROADWAY ASSISTED LIVING ADDRESS: GALVESTON, TX NATURE OF THE BUSINESS: BUSINESS OWNER POSITION/TITLE: BUSINESS OWNER INVESTMENT RELATED:YES START DATE: 06/10/2013 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 0 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Anthony Funk's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

September 15, 2017 - Present

BRAZOS CAPITAL

Office #1: 200 Congress Avenue Suite 902, Austin, TX 78701

RIA

CRD#: 289749

Austin, TX

Past

February 17, 2011 - September 29, 2017

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

AUSTIN, TX

Past

February 17, 2011 - September 29, 2017

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

AUSTIN, TX

Past

June 1, 2009 - February 28, 2011

MORGAN STANLEY

RIA

CRD#: 149777

AUSTIN, TX

Past

June 1, 2009 - February 28, 2011

MORGAN STANLEY

CRD#: 149777

AUSTIN, TX

Past

January 24, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

AUSTIN, TX

Past

January 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

AUSTIN, TX

Past

October 21, 2004 - December 17, 2004

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

January 2, 2002 - September 30, 2002

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

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".

BRAZOS CAPITAL

BRAZOS CAPITAL | BRAZOS CAPITAL, LLC

CRD#: 289749 / SEC#: 801-111665

RIA

Registered Investment Advisory firm - (9/12/2017 Approved)

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

Texas
(9/15/2017)

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 65

Date: 1/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/10/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/20/2001

General Securities Representative Examination

Current Firm

BRAZOS CAPITAL

BRAZOS CAPITAL | BRAZOS CAPITAL, LLC

CRD#: 289749 / SEC#: 801-111665

RIA

Registered Investment Advisory firm - (9/12/2017 Approved)

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Contact information

Main Address

200 Congress Avenue Suite 902, Austin, TX 78701

Mailing Address

Phone number

(512) 827-0826

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	212
AUM (Assets Under Management)	$ 90,506,283

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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Firm Stability Insights

Richard A. Funk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Anthony Funk's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

QUASAR DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

Primary Firm SEC Registration

BRAZOS CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2005

Series 63

Date: 8/28/2001

SIE

Date: 9/29/2017

Series 31

Date: 2/10/2005

Series 7

Date: 8/20/2001

Current Firm

BRAZOS CAPITAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

BRAZOS CAPITAL

TRUST BUT VERIFY

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