Richard E. Hall

BOURGEON CAPITAL MANAGEMENT LLC

Darien, CT 06820

Some features on this profile are disabled

CRD#: 6659326

Professional summary

Richard Estep Hall, who also goes by Richard Hall, Stepper Hall, is a registered financial advisor currently at BOURGEON CAPITAL MANAGEMENT LLC located in Darien, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Richard has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Hall | Stepper Hall

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Estep Hall's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 14, 2024 - Present

BOURGEON CAPITAL MANAGEMENT LLC

Office #1: 320 Post Road Suite 220, Darien, CT 06820

RIA

CRD#: 108054

Darien, CT

Past

March 19, 2018 - March 25, 2024

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

New York, NY

Past

February 12, 2018 - March 25, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

New York, NY

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".

BOURGEON CAPITAL MANAGEMENT LLC

BCM INVESTMENTS, LLC (RELYING ADVISOR) | BOURGEON CAPITAL MANAGEMENT LLC

CRD#: 108054 / SEC#: 801-56289

RIA

Registered Investment Advisory firm - (2/23/1999 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/14/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/14/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/2018

General Securities Representative Examination

Current Firm

BOURGEON CAPITAL MANAGEMENT LLC

BCM INVESTMENTS, LLC (RELYING ADVISOR) | BOURGEON CAPITAL MANAGEMENT LLC

CRD#: 108054 / SEC#: 801-56289

RIA

Registered Investment Advisory firm - (2/23/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

320 Post Road Suite 220, Darien, CT 06820

Mailing Address

Phone number

(203) 280-1170

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 FIRM BROCHURE AND BROCHURE SUPPLEMENT (3/24/2025)

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 917,600,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/04/2025	Cover Page	Report
02/03/2025	Cover Page	Report
02/13/2024	Cover Page	Report
03/17/2023	Cover Page	Report

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard E. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Estep Hall's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOURGEON CAPITAL MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

BOURGEON CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2018

SIE

Date: 10/1/2018

Series 7

Date: 2/12/2018

Current Firm

BOURGEON CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BOURGEON CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors