Dick E. Blakeley

THE BLAKELEY GROUP

Santa Clara, CA 95054

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CRD#: 854748

Professional summary

Dick Eugene Blakeley, who also goes by Richard Eugene Blakeley, Richard E Blakely, Richard Eugene Blakely, is a registered financial advisor currently at THE BLAKELEY GROUP INC located in Santa Clara, California.

Dick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Dick has worked at 5 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Eugene Blakeley | Richard E Blakely | Richard Eugene Blakely

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 Dick Eugene Blakeley'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

May 26, 2009 - Present

THE BLAKELEY GROUP INC

Office #1: 2804 Mission College Blvd. Suite 205, Santa Clara, CA 95054

RIA

CRD#: 150066

Santa Clara, CA

Past

January 29, 2007 - December 31, 2008

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

SAN JOSE, CA

Past

July 8, 1997 - February 1, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PALO ALTO, CA

Past

September 2, 1980 - February 1, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PALO ALTO, CA

Past

January 31, 1980 - September 29, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 21, 1978 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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

California
(5/26/2009)

IAR

Oregon
(9/16/2014)

IAR

Washington
(9/17/2012)

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 65

Date: 11/4/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/9/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 7/15/1978

General Securities Representative Examination

Current Firm

THE BLAKELEY GROUP INC

BLAKELEY, DICK EUGENE | THE BLAKELEY GROUP, INC. | THE BLAKELEY GROUP LTD., WEALTH MANAGEMENT AND CONSULTING | THE BLAKELEY GROUP INC

CRD#: 150066 / SEC#: 801-70125

RIA

Registered Investment Advisory firm - (9/18/2012 Terminated)

California

Registered Investment Advisory firm - (7/11/2012 Approved)

Oregon

Registered Investment Advisory firm - (5/16/2014 Approved)

Texas

Registered Investment Advisory firm - (12/31/2016 Terminated)

Washington

Registered Investment Advisory firm - (9/17/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2804 Mission College Blvd. Suite 205, Santa Clara, CA 95054

Mailing Address

Phone number

(408) 459-4910

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	348
AUM (Assets Under Management)	$ 107,053,758

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.

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Dick E. Blakeley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dick Eugene Blakeley's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE BLAKELEY GROUP INC

CONCERT WEALTH MANAGEMENT

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/1994

Series 63

Date: 3/4/1980

Series 5

Date: 10/9/1981

Series 7

Date: 7/15/1978

Current Firm

THE BLAKELEY GROUP INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE BLAKELEY GROUP INC

TRUST BUT VERIFY

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