RS
Richard C. St. Onge
WINTHROP WEALTH
BOSTON, MA 02116-5168
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CRD#: 4643907
RS
Professional summary
Richard Charles St. Onge, who also goes by Richard Ppc Charles St. Onge, Richard Charles St. Onge, Ppc, Richard C Stonge, Rich St. Onge, Richard C St. Onge, Ppc, is a registered financial advisor currently at WINTHROP WEALTH located in Boston, Massachusetts.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Richard has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Ppc Charles St. Onge | Richard Charles St. Onge, Ppc | Richard C Stonge | Rich St. Onge | Richard C St. Onge, Ppc
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. 10/19/2011 - Winthrop Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
2. 5/9/2017 - Winthrop Advisory Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 05/08/2017 - 160 Hours Per Month/8 Hours During Securities Trading.
3. 5/9/2017 - Winthrop Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/08/2017 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Winthrop Wealth Management, an independent investment advisor firm. I started this business activity in 5/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4. 5/1/2020 - Winthrop Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2020 - 30 Hours Per Month/1 Hour During Securities Trading.
5. 5/21/2020 - Winthrop Advisory Group LLC - DBA: (Hybrid) Winthrop Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 04/22/2020 - 160 Hours Per Month/8 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Charles St. Onge'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®
NoneExperience
Current
October 11, 2017 - Present
WINTHROP WEALTH
Office #1: 321 Columbus Ave 3rd Fl, Boston, MA 02116-5168RIA
CRD#: 288178
BOSTON, MA
Past
February 19, 2014 - January 8, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTBOROUGH, MA
Past
May 28, 2003 - January 8, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTBOROUGH, MA
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".
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 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
Massachusetts(10/11/2017)
IAR
Texas(2/26/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
Mailing Address
Phone number
(617) 530-1010
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,872 |
| AUM (Assets Under Management) | $ 2,600,886,145 |
Red Flags
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Company Information
WINTHROP WEALTH
CRD#: 288178Boston, MA 02116-5168TRUST BUT VERIFY
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