Richard Marshall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Marshall, who also goes by Richard Charles Marshall, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2010. Richard had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2020 - January 17, 2020
COLDSTREAM WEALTH MANAGEMENT
October 10, 2019 - October 17, 2019
MADISON AVENUE SECURITIES, LLC
August 24, 2015 - October 30, 2018
VESTORY, LLC
July 9, 2013 - October 21, 2014
THE RETIREMENT SOLUTION LLC
February 22, 2011 - September 18, 2012
OPPENHEIMER & CO. INC.
November 1, 2010 - September 18, 2012
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
COLDSTREAM WEALTH MANAGEMENT
CRD#: 108805 / SEC#: 801-39379
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COLDSTREAM WEALTH MANAGEMENT
CRD#: 108805 / SEC#: 801-39379
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,519 |
| AUM (Assets Under Management) | $ 12,438,532,202 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/27/2024 | ||
| 09/29/2023 |
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.
