Richard S. Tonge
Professional summary
Richard Smith Tonge is a registered financial advisor currently at TONGE INVESTMENTS located in Belgrade, Maine.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Smith Tonge's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2002 - Present
TONGE INVESTMENTS
June 25, 1996 - May 8, 1997
ROBERT THOMAS SECURITIES, INC
January 29, 1975 - July 10, 1996
R. M. TONGE COMPANY
May 17, 1974 - March 21, 1975
SMITH & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/10/2010)
(2/25/2015)
Exams
Series 1
Date: 5/11/1974
Registered Representative ExaminationF04
Date: 8/2/1980
Financial Principal ExaminationSeries 00
Date: 2/19/1975
General Securities Principal ExaminationCurrent Firm
TONGE INVESTMENTS
CRD#: 119651 / SEC#: 801-61147
Contact information
Regulatory assets under management
| Total Number of Accounts | 231 |
| AUM (Assets Under Management) | $ 45,815,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 02/01/2024 | ||
| 01/16/2023 |
Red Flags
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