Richard G. Faux

TRIESTE CAPITAL LLC

Brookville, NY

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CRD#: 4609843

Professional summary

Richard Gordon Faux III, who also goes by Richard Gordon Faux, is a registered financial advisor currently at TRIESTE CAPITAL LLC located in Brookville, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Richard has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Gordon Faux

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 Gordon Faux III'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

August 31, 2021 - Present

TRIESTE CAPITAL LLC

RIA

CRD#: 153084

Brookville, NY

Past

August 6, 2012 - October 12, 2016

TRIESTE CAPITAL LLC

RIA

CRD#: 153084

NEW YORK, NY

Past

November 26, 2002 - February 15, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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

New York
(8/31/2021)

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: 12/17/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/22/2002

General Securities Representative Examination

Current Firm

TRIESTE CAPITAL LLC

INVESCORE GLOBAL ASSET MANAGEMENT LLC | TRIESTE CAPITAL, LLC | TRIESTE CAPITAL LLC

CRD#: 153084 / SEC#:

New Jersey

Registered Investment Advisory firm - (1/31/2014 Terminated)

New York

Registered Investment Advisory firm - (3/31/2010 Approved)

Texas

Registered Investment Advisory firm - (10/12/2016 Terminated)

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

Brookville, NY

Mailing Address

43 Glen Cove Rd B160, Greenvale, NY 11548

Phone number

(646) 228-3851

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 12,292,751

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 G. Faux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Gordon Faux III's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIESTE CAPITAL LLC

TRIESTE CAPITAL LLC

CITICORP INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2008

Series 63

Date: 12/18/2002

Series 7

Date: 11/22/2002

Current Firm

TRIESTE CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRIESTE CAPITAL LLC

TRUST BUT VERIFY

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