Richard M. Wertheimer

FORT STREET ASSET MANAGEMENT LLC

Honolulu, HI 96813

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CRD#: 4514149

Professional summary

Richard M Wertheimer is a registered financial advisor currently at FORT STREET ASSET MANAGEMENT LLC located in Honolulu, Hawaii.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Richard has worked at 2 firms and has passed the Series 66, SIE 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) DIRECTOR, FORT STREET AM FUND (BVI), LTD; BRITISH VIRGIN ISLANDS, INVESTMENT-RELATED BUSINESS, 1 HR PER WEEK; DIRECTOR OF PRIVATE FUND

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard M Wertheimer'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®

None

Experience

Current

December 12, 2019 - Present

FORT STREET ASSET MANAGEMENT LLC

Office #1: 900 Fort Street Mall Suite 1727, Honolulu, HI 96813

RIA

CRD#: 305446

Honolulu, HI

Past

November 9, 2015 - December 5, 2019

MORGAN STANLEY

RIA

CRD#: 149777

HONOLULU, HI

Past

September 24, 2015 - December 5, 2019

MORGAN STANLEY

CRD#: 149777

HONOLULU, HI

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".

FORT STREET ASSET MANAGEMENT LLC

CRD#: 305446 / SEC#: 801-129378

RIA

Registered Investment Advisory firm - (1/18/2024 Approved)

Hawaii

Registered Investment Advisory firm - (11/27/2019 Approved)

Texas

Registered Investment Advisory firm - (3/12/2021 Conditional Restricted)

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

Hawaii
(12/12/2019)

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: 11/9/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2015

General Securities Representative Examination

Current Firm

FORT STREET ASSET MANAGEMENT LLC

CRD#: 305446 / SEC#: 801-129378

RIA

Registered Investment Advisory firm - (1/18/2024 Approved)

Hawaii

Registered Investment Advisory firm - (11/27/2019 Approved)

Texas

Registered Investment Advisory firm - (3/12/2021 Conditional Restricted)

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Contact information

Main Address

900 Fort Street Mall Suite 1727, Honolulu, HI 96813

Mailing Address

Phone number

(808) 265-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FSAM DISCLOSURE BORCHURE AND SUPPLEMENT (3/24/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 190,000,000

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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Richard M. Wertheimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard M Wertheimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORT STREET ASSET MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

FORT STREET ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2015

Current Firm

FORT STREET ASSET MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORT STREET ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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