Richard C. Donnelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Claude Donnelly, CIMA®, who also goes by Rich Donnelly, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 12 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2018 - January 9, 2026
EP WEALTH ADVISORS
March 30, 2007 - December 31, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 19, 2004 - April 2, 2007
SEI INVESTMENTS DISTRIBUTION CO.
May 4, 2004 - November 19, 2004
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
May 3, 2004 - November 19, 2004
NEWEDGE SECURITIES, LLC
May 27, 2003 - November 28, 2018
DONNELLY WEALTH ADVISORS, INC.
January 7, 2003 - December 10, 2004
AFFILIATED WEALTH ADVISORS, LLC
July 8, 1997 - May 4, 2004
FDX ADVISORS, INC.
April 15, 1997 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
February 21, 1989 - January 28, 1997
SUTRO & CO. INCORPORATED
January 2, 1986 - February 9, 1989
UBS FINANCIAL SERVICES INC.
July 28, 1982 - January 14, 1986
SUTRO & CO. INCORPORATED
April 13, 1981 - August 17, 1982
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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