Richard W. Smith

PASHADRE CAPITAL MANAGEMENT,

So. Weymouth, MA 02190

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CRD#: 712023

Professional summary

Richard William Smith JR, CFP®, who also goes by Richard William Smith, is a registered financial advisor currently at PASHADRE CAPITAL MANAGEMENT, INC located in So. Weymouth, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Richard has worked at 7 firms and has passed the Series 63, Series 7, Series 15, Series 5 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard William Smith

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 William Smith 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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

January 1, 1998 - Present

PASHADRE CAPITAL MANAGEMENT, INC

Office #1: 33 Union St., Ste 212, So. Weymouth, MA 02190

RIA

CRD#: 129239

So. Weymouth, MA

Past

November 18, 1997 - May 6, 1998

CAPITOL SECURITIES & ASSOCIATES, INC.

CRD#: 7278

GLEN ALLEN, VA

Past

March 15, 1989 - May 18, 1990

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

February 23, 1989 - March 13, 1989

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

November 20, 1986 - December 14, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

October 31, 1983 - December 20, 1986

FIRST NEW ENGLAND SECURITIES CORPORATION

CRD#: 7107

Past

July 22, 1980 - October 14, 1983

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

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

Massachusetts
(1/1/1998)

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

Series 63

Date: 11/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/30/1997

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 3/21/1988

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 3/21/1988

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 4/6/1987

National Commodity Futures Examination

Current Firm

PASHADRE CAPITAL MANAGEMENT, INC

PASHADRE CAPITAL MANAGEMENT | SMITH JR,RICHARD W | PASHADRE CAPITAL MANAGEMENT, INC

CRD#: 129239 / SEC#:

Massachusetts

Registered Investment Advisory firm - (1/6/1999 Approved)

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Contact information

Main Address

33 Union Street Ste. 212, S. Weymouth, MA 02190

Mailing Address

Phone number

(781) 337-7766

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 94,088,100

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard William Smith JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL SECURITIES & ASSOCIATES, INC.

TUCKER ANTHONY INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

THOMSON MCKINNON SECURITIES INC.

FIRST NEW ENGLAND SECURITIES CORPORATION

GLEACHER & COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/5/1997

Series 7

Date: 10/30/1997

Series 15

Date: 3/21/1988

Series 5

Date: 3/21/1988

Series 3

Date: 4/6/1987

Current Firm

PASHADRE CAPITAL MANAGEMENT, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PASHADRE CAPITAL MANAGEMENT, INC

TRUST BUT VERIFY

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