RH
Richard S. Harader
STONEX ADVISORS
CAVE CREEK, AZ
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CRD#: 6285411
RH
Professional summary
Richard Sheldon Harader Jr, who also goes by Richard Sheldon Harader, is a registered financial advisor currently at STONEX ADVISORS INC. located in Cave Creek, Arizona and STONEX SECURITIES INC. located in Cave Creek, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Sheldon Harader
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) HARADER FINANCIAL MANAGEMENT GROUP, L.L.C. (FORMERLY DICKY'S DUMPERS) - INVESTMENT RELATED. 40011 N ECHO CANYON DR., CAVE CREEK, AZ 85331. NATURE OF BUSINESS: USED TO PROMOTE REP'S SECURITIES AND INSURANCE BIZ THROUGH WEBSITE. POTENTIALLY ALSO MAY BE USED FOR BUSINESS PROCESS IMPROVEMENT CONSULTING (NONE YET). 100% OWNER, POSITION: OWNER. STARTED 06/2001. 0HRS/MO AND 0HRS/MO DURING TRADING HRS. DUTIES: UPDATE AND MAINTAIN WEBSITE. IF CONSULTING, MEET WITH SMALL BUSINESS OWNERS/STAFF AND HELP RESOLVE BIZ CHALLENGES. 2) INSURANCE BUSINESS - NON-INVESTMENT RELATED. 38400 N SCHOOLHOUSE RD, #4687, CAVE CREEK, AZ 85331. NATURE OF BUSINESS: LIFE AND HEALTH INSURANCE PRODUCTS. 100% OWNER, POSITION: OWNER/LICENSE HOLDER. STARTED 02/2016. 4 HRS/MO AND 0 HRS/MO DURING TRADING HRS. DUTIES: PROSPECTING, ASSESSING CLIENT NEED AND SITUATION, OFFERING INSURANCE PRODUCT OPTIONS WHERE APPROPRIATE, OBTAINING UNDERWRITING APPROVAL BY COMPLETING APPLICATION, PROVIDING TIMELY DELIVERY OF POLICY AND FOLLOWING UP AS NEEDED. 3) Trinity Fellowship 7075 E Panorama Drive Cave Creek, AZ 85331 Nature of Business: Church that is going thru 501c3 process Investment Related: Non-Investment Related Title: Director Duties: Serving on the Board/Pastoral Leadership Team. Requires meeting once a quarter (minimum) or once a month (maximum) for 1 hours meeting. Goal is to shepherd the church as it grows. Start Date: 02/16/2020 Hours Devoted to Business: Max 1 hour per month Hours Devoted to Business during Market Hours: None- only meetings occur after church service on the weekend. 4) Casita Rental - 40011 N. Echo Canyon Drive Nature of Business: Renting the Casita for additional income Investment Related: No Business Position: Owner Business Duties: Owner - Laundering of towels, changing linens, any potential repairs, restocking supplies as needed and cleaning. Business Start Date: 03/30/2025 Approximately 8 hours spent on this OBA monthly with 4 spent during market hours
CRS (Client Relationship Summary) - RIA
Click below to view Richard Sheldon Harader Jr's 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®
NoneExperience
Current
December 18, 2019 - Present
STONEX ADVISORS INC.
RIA
CRD#: 174182
CAVE CREEK, AZ
Current
December 6, 2019 - Present
STONEX SECURITIES INC.
BD
CRD#: 18456
Cave Creek, AZ
Past
February 12, 2016 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
CAVE CREEK, AZ
Past
February 11, 2016 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
March 31, 2014 - January 8, 2016
EDWARD JONES
RIA
CRD#: 250
SCOTTSDALE, AZ
Past
March 3, 2014 - January 8, 2016
EDWARD JONES
BD
CRD#: 250
SCOTTSDALE, AZ
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".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)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.RR
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
RR
Arizona(12/6/2019)
IAR
Arizona(12/18/2019)
RR
Colorado(12/6/2019)
RR
Illinois(12/6/2019)
RR
Minnesota(12/6/2019)
RR
North Carolina(12/10/2019)
RR
Pennsylvania(12/6/2019)
RR
Texas(4/9/2024)
RR
Washington(12/6/2019)
RR
Wisconsin(12/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
