Richard J. Curley
Professional summary
Richard Joseph Curley, who also goes by Rick Curley, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Jupiter, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Boca Raton, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Richard has worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Curley's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1300 N Federal Hwy Ste 101, Boca Raton, FL 33432November 1, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1300 N Federal Hwy Ste 101, Boca Raton, FL 33432July 10, 2012 - November 8, 2013
KENILWORTH ASSET MANAGEMENT, LLC
July 9, 2012 - June 3, 2013
WORLD EQUITY GROUP, INC.
March 3, 2008 - September 4, 2009
CHICAGO INVESTMENT GROUP, LLC
March 3, 2008 - July 19, 2010
CHICAGO INVESTMENT GROUP, LLC
June 2, 2005 - March 3, 2008
SAMUEL A. RAMIREZ & COMPANY, INC.
July 21, 2004 - May 6, 2005
WHITAKER SECURITIES LLC
April 22, 2003 - June 2, 2004
NOBLE CAPITAL MARKETS, INC.
April 15, 2003 - May 5, 2003
RYAN BECK & CO.
February 21, 2002 - May 5, 2003
RYAN BECK & CO.
January 2, 2002 - March 4, 2002
OPPENHEIMER & CO. INC.
October 16, 2000 - January 2, 2002
JOSEPHTHAL & CO., INC.
December 8, 1998 - November 2, 2000
JWGENESIS SECURITIES, INC.
July 12, 1995 - December 2, 1998
GRUNTAL & CO., L.L.C.
March 30, 1992 - July 3, 1995
ALEX. BROWN & SONS INCORPORATED
May 5, 1988 - April 24, 1989
HARRY DOWNS & COMPANY, INC.
July 13, 1987 - March 14, 1988
BNY MELLON CAPITAL MARKETS, LLC
December 12, 1985 - July 7, 1986
AMERICAN SECURITIES BD CO., L.P.
June 11, 1981 - April 18, 1984
ALEX. BROWN & SONS INCORPORATED
March 23, 1981 - May 20, 1981
BEVILL, BRESLER & SCHULMAN INCORPORATED
May 15, 1972 - April 14, 1978
LEHMAN BROTHERS INCORPORATED
October 6, 1970 - February 29, 1972
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/6/2013)
(12/6/2013)
(1/3/2025)
Exams
Series 1
Date: 10/1/1970
Registered Representative ExaminationSeries 8
Date: 8/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
