Brittany Richard
Professional Summary
Brittany Richard, who also goes by Brittany Lee Richard, Brittany Lee Small, Brittany Small, is a registered financial advisor currently at PRIVATE ADVISOR GROUP, LLC located in Owensboro, Kentucky and LPL FINANCIAL LLC located in Owensboro, Kentucky. Brittany is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Brittany has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brittany Richard, Brittany Lee Richard, Brittany Lee Small, Brittany Small
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
8 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
1406 FINANCIAL | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT LLC | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COMMON SENSONOMICS WEALTH MANAGEMENT | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEARLIFE WEALTH MANAGEMENT | CLEAR SKIES FINANCIAL | CLARITY FINANCIAL PLANNING | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHANNEL ISLANDS TAX & WEALTH MANAGEMENT | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPLAN CAPITAL MANAGEMENT, INC | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAMPBELL KRUG WEALTH MANAGEMENT | CAMINO ADVISORS | CAMBER WEALTH | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BSF ADVISORS | BROWN FINANCIAL SERVICES GROUP | BROOKWOOD ADVISORS | BROOKS WEALTH MANAGEMENT | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIDGEVIEW CAPITAL PLANNING INC | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOYER FINANCIAL GROUP | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ASSET MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK STONE FINANCIAL INC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BAKER WEALTH MANAGEMENT, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLAS WEALTH ADVISORS | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ASCEND INTEGRATED WEALTH | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | ARAKELIAN WEALTH MANAGEMENT | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGLIN WEATLH MANAGEMENT | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | AMERICAN FINANCIAL ADVISORS, INC | ALPERT FINANCIAL | ALNA FINANCIAL GROUP, LLC | ALNA FINANCIAL GROUP LLC | ALMANZA WEALTH MANAGEMENT | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | ALADINO FINANCIAL SERVICES | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | AERO CAPITAL | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
Contact Information
Main Address
305 Madison Avenue, Morristown, NJ 07960Mailing Address
305 Madison Avenue Po Box 1820, Morristown, NJ 07962Phone Number
(973) 538-7010# of Employees
930SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
170,206AUM (Assets Under Management)
$57,703,120,793Similar 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
1406 FINANCIAL | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT LLC | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COMMON SENSONOMICS WEALTH MANAGEMENT | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEARLIFE WEALTH MANAGEMENT | CLEAR SKIES FINANCIAL | CLARITY FINANCIAL PLANNING | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHANNEL ISLANDS TAX & WEALTH MANAGEMENT | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPLAN CAPITAL MANAGEMENT, INC | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAMPBELL KRUG WEALTH MANAGEMENT | CAMINO ADVISORS | CAMBER WEALTH | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BSF ADVISORS | BROWN FINANCIAL SERVICES GROUP | BROOKWOOD ADVISORS | BROOKS WEALTH MANAGEMENT | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIDGEVIEW CAPITAL PLANNING INC | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOYER FINANCIAL GROUP | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ASSET MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK STONE FINANCIAL INC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BAKER WEALTH MANAGEMENT, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLAS WEALTH ADVISORS | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ASCEND INTEGRATED WEALTH | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | ARAKELIAN WEALTH MANAGEMENT | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGLIN WEATLH MANAGEMENT | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | AMERICAN FINANCIAL ADVISORS, INC | ALPERT FINANCIAL | ALNA FINANCIAL GROUP, LLC | ALNA FINANCIAL GROUP LLC | ALMANZA WEALTH MANAGEMENT | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | ALADINO FINANCIAL SERVICES | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | AERO CAPITAL | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
State Registrations and Notice Filings
(5/24/2024)
(5/28/2024)
(5/24/2024)
(5/29/2024)
(5/28/2024)
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.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
PRIVATE ADVISOR GROUP, LLC — Registered Investment Advisory firm
Version Date: Fri, Mar 01, 2024
Private Advisor Group (PAG) is registered with the U.S. Securities and Exchange Commission as an investment adviser. Investment advisory and brokerage services and fees differ, and it is important for you to understand the differences in order to choose which type of account is right for you. There are free and simple tools available to research firms and financial professionals at Investor.gov/CRS which also provides educational materials about investment advisers, broker-dealers, and investing.
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