Richard E. Cripps

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CRD#: 863281

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 Eric Cripps was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 7 firms and has passed the Series 63, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 2010 - June 5, 2024

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 145420

BALTIMORE, MD

Past

June 11, 2008 - December 31, 2008

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 145420

BALTIMORE, MD

Past

January 14, 2008 - July 17, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

BALTIMORE, MD

Past

December 1, 2005 - July 17, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BALTIMORE, MD

Past

November 3, 1987 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

October 30, 1987 - November 4, 1987

LEGG MASON MASTEN INC.

CRD#: 2

Past

December 12, 1979 - October 30, 1987

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

Past

May 22, 1979 - January 5, 1980

LAIDLAW, MARTIN & MOYSEY, INC.

CRD#: 6636

Past

May 2, 1979 - June 29, 1979

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Past

March 1, 1979 - March 21, 1979

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

CRD#: 145420 / SEC#: 801-69131

RIA

Registered Investment Advisory firm - (5/8/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 4/1/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 2/17/1979

General Securities Representative Examination

Current Firm

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

CRD#: 145420 / SEC#: 801-69131

RIA

Registered Investment Advisory firm - (5/8/2008 Approved)

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Contact information

Main Address

One South Street 25th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 224-1231

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 222,608,624

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 E. Cripps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON MASTEN INC.

LEGG MASON WOOD WALKER, INCORPORATED

LAIDLAW, MARTIN & MOYSEY, INC.

FORESTERS FINANCIAL SERVICES, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/18/1986

Series 87

Date: 4/1/2005

Series 7

Date: 2/17/1979

Current Firm

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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