Richard A. Carey
Professional summary
Richard Andrew Carey, who also goes by Richard Carey, is a registered financial advisor currently at FIDUCIENT ADVISORS LLC located in Windsor, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Richard has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Andrew Carey's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2023 - Present
FIDUCIENT ADVISORS LLC
Office #1: 100 Northfield Drive Suite 200, Windsor, CT 06095March 19, 2015 - June 23, 2015
EQUITABLE ADVISORS, LLC
January 1, 2015 - June 23, 2015
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
FIDUCIENT ADVISORS LLC
CRD#: 106720 / SEC#: 801-48820
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/24/2023)
Exams
Current Firm
FIDUCIENT ADVISORS LLC
CRD#: 106720 / SEC#: 801-48820
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,150 |
| AUM (Assets Under Management) | $ 67,638,977,771 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/30/2024 | ||
| 11/14/2023 | ||
| 01/23/2023 |
Red Flags
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