Richard A. Finelli

GRANEY& KING

LATHAM, NY 12110

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CRD#: 5146866

Professional summary

Richard A Finelli MR is a registered financial advisor currently at GRANEY& KING, LLC located in Latham, New York and LPL FINANCIAL LLC located in Latham, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A Finelli MR'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

January 27, 2026 - Present

GRANEY& KING, LLC

Office #1: 623 New Loudon Road, Latham, NY 12110

RIA

CRD#: 126461

LATHAM, NY

Current

September 26, 2006 - Present

LPL FINANCIAL LLC

Office #1: 623 Loudon Road Br#3, Latham, NY 12110

RIA

CRD#: 6413

LATHAM, NY

Past

August 3, 2021 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

BABYLON, NY

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".

GRANEY& KING, LLC

GRANEY & KING, LLC | GRANEY& KING, LLC

CRD#: 126461 / SEC#: 801-123006

RIA

Registered Investment Advisory firm - (1/7/2022 Approved)

New York

Registered Investment Advisory firm - (1/25/2022 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).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(10/5/2006)

IAR

New York
(1/27/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GRANEY& KING, LLC

GRANEY & KING, LLC | GRANEY& KING, LLC

CRD#: 126461 / SEC#: 801-123006

RIA

Registered Investment Advisory firm - (1/7/2022 Approved)

New York

Registered Investment Advisory firm - (1/25/2022 Terminated)

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Contact information

Main Address

623 New Loudon Road, Latham, NY 12110

Mailing Address

Phone number

(518) 785-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,144
AUM (Assets Under Management)	$ 418,087,568

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard A. Finelli

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A Finelli MR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

GRANEY& KING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/2025

Series 63

Date: 9/29/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2006

FINRA

Current Firm

GRANEY& KING, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRANEY& KING, LLC

TRUST BUT VERIFY

Contact information

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