Richard Owen Jr. Jr
Professional Summary
Richard Owen Jr. JR, who also goes by Richard Owen Jr, is a registered financial advisor currently at POINT WINDWARD ADVISORS, INC. located in Naples, Florida and BEECH HILL SECURITIES, INC. located in New York, New York. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Richard has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Owen Jr
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BEECH HILL ADVISORS, INC | POINT WINDWARD ADVISORS, INC. | CANTOR, WEISS & WURM ASSET MANAGEMENT CO., INC. | CANTOR & WEISS ASSET MANAGEMENT CO., INC.
Contact Information
Main Address
880 Third Ave 16th Floor, New York, NY 10022Phone Number
(212) 350-7250# of Employees
9SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
559AUM (Assets Under Management)
$358,565,215Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BEECH HILL ADVISORS, INC | POINT WINDWARD ADVISORS, INC. | CANTOR, WEISS & WURM ASSET MANAGEMENT CO., INC. | CANTOR & WEISS ASSET MANAGEMENT CO., INC.
State Registrations and Notice Filings
(1/27/2014)
(1/24/2014)
(2/5/2014)
(3/23/2023)
(11/24/2014)
(1/24/2014)
(1/28/2014)
(1/24/2014)
(2/20/2026)
(10/18/2018)
(1/24/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Owen Jr. JR's CRS (Customer Relationship Summary).
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