Jeffrey T. Richter

ARES FINANCIAL CONSULTING LLC

CALABASAS, CA 91302

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CRD#: 5156185

Professional summary

Jeffrey T Richter is a registered financial advisor currently at ARES FINANCIAL CONSULTING LLC located in Calabasas, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jeffrey has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 31, Series 7, Series 6 and Series 24 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) LIFE, DISABILITY, LONG TERM CARE, AND HEALTH INSURANCE; NON-INVESTMENT RELATED; INSURANCE BROKER; 4/2009; PROVIDE INSURANCE TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey T Richter'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

March 18, 2016 - Present

ARES FINANCIAL CONSULTING LLC

Office #1: 4500 Park Granada Suite 202, Calabasas, CA 91302

RIA

CRD#: 282852

CALABASAS, CA

Past

April 11, 2024 - October 27, 2025

PACIFIC COAST FIDUCIARY LLC

RIA

CRD#: 330334

CALABASAS, CA

Past

April 17, 2009 - March 18, 2016

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

SHERMAN OAKS, CA

Past

April 16, 2009 - March 18, 2016

NATIONAL SECURITIES CORPORATION

CRD#: 7569

Sherman Oaks, CA

Past

January 1, 2008 - April 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

IRVINE, CA

Past

January 1, 2008 - April 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

IRVINE, CA

Past

December 12, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SAN JUAN CAPISTRANO, CA

Past

October 16, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SAN JUAN CAPISTRANO, CA

Past

July 7, 2006 - October 17, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

ARES FINANCIAL CONSULTING LLC

CRD#: 282852 / SEC#: 801-121211

RIA

Registered Investment Advisory firm - (5/14/2021 Approved)

California

Registered Investment Advisory firm - (6/13/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (5/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2021 Terminated)

Washington

Registered Investment Advisory firm - (6/14/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/14/2021 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.

Highlighted states indicate IAR registrations

IAR

California
(3/18/2016)

IAR

Texas
(3/4/2019)

IAR

Washington
(8/1/2017)

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 66

Date: 12/11/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/21/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 2/26/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/28/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/22/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/2013

General Securities Principal Examination

Current Firm

ARES FINANCIAL CONSULTING LLC

CRD#: 282852 / SEC#: 801-121211

RIA

Registered Investment Advisory firm - (5/14/2021 Approved)

California

Registered Investment Advisory firm - (6/13/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (5/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2021 Terminated)

Washington

Registered Investment Advisory firm - (6/14/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/14/2021 Terminated)

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Contact information

Main Address

4500 Park Granada Suite 202, Calabasas, CA 91302

Mailing Address

Phone number

(818) 986-1479

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ARES FINANCIAL CONSULTING FORM ADV PART 2 DISCLOSURE BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	780
AUM (Assets Under Management)	$ 193,324,292

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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Advisor Monitoring

Firm Stability Insights

Jeffrey T. Richter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey T Richter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC COAST FIDUCIARY LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ARES FINANCIAL CONSULTING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2006

Series 63

Date: 6/29/2006

SIE

Date: 3/18/2016

Series 3

Date: 9/21/2010

Series 31

Date: 2/26/2009

Series 7

Date: 11/28/2006

Series 6

Date: 6/22/2006

Series 24

Date: 8/1/2013

Current Firm

ARES FINANCIAL CONSULTING LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARES FINANCIAL CONSULTING LLC

TRUST BUT VERIFY

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