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MR

Marc S. Richman

VIGILANT DISTRIBUTORS
Chadds Ford, PA 19317
Some features on this profile are disabled
CRD#: 717797
MR

Professional summary

Marc Steven Richman is a registered financial professional currently at VIGILANT DISTRIBUTORS, LLC located in Chadds Ford, Pennsylvania.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1980. Marc has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Marc Steven Richman'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®
None

Experience

Current

August 29, 2025 - Present

VIGILANT DISTRIBUTORS, LLC

Office #1: 223 Wilmington West Chester Pike Suite 216, Chadds Ford, PA 19317
BD
CRD#: 285573
Chadds Ford, PA
Past

November 24, 2024 - February 27, 2026

WICK CAPITAL PARTNERS, LLC

RIA
CRD#: 299194
WAYNE, PA
Past

November 5, 2024 - June 30, 2025

NEWPOINT REAL ESTATE CAPITAL SECURITIES LLC

BD
CRD#: 321842
NEW YORK, NY
Past

March 29, 2012 - December 22, 2022

MORGAN STANLEY

RIA
CRD#: 149777
West Conshohocken, PA
Past

March 29, 2012 - December 22, 2022

MORGAN STANLEY

BD
CRD#: 149777
West Conshohocken, PA
Past

March 1, 2007 - April 13, 2012

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
PHILADELPHIA, PA
Past

December 5, 2005 - April 13, 2012

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
PHILADELPHIA, PA
Past

July 10, 1998 - December 19, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 28, 1995 - July 20, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 24, 1980 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(8/29/2025)
RR
New York
(8/29/2025)
RR
Pennsylvania
(8/29/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/20/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/2/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/1984
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1980
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VIGILANT DISTRIBUTORS, LLC
HERALD INVESTMENT MARKETING, LLC | VIGILANT DISTRIBUTORS, LLC

CRD#: 285573 / SEC#: , 8-69854

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Mailing Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Phone number
(484) 840-3701
Established
Pennsylvania since 06/13/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHADDS FORD INVESTMENT MANAGEMENT, LLCOWNER
CHISM, PATRICK ANDREWCEO AND CCO2875421
FAIA, SALVATORE ROCCO IIPRINCIPAL OPERATIONS OFFICER6813402
SCARPATI, GERARDCFO AND PRINCIPAL FINANCIAL OFFICER2313132

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.

Company Information

VIGILANT DISTRIBUTORS, LLC

CRD#: 285573Chadds Ford, PA 19317

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