RD
Richard B. Dudley
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CRD#: 867176
RD
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 Bruce Dudley, who also goes by Dick Dudley, Richard B Dudley, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dick Dudley | Richard B Dudley
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.
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®
NoneExperience
Past
July 13, 2018 - September 30, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
Woburn, MA
Past
June 1, 2016 - July 9, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
WALTHAM, MA
Past
March 27, 2014 - July 9, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
WOBURN, MA
Past
December 19, 2008 - March 28, 2014
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
MAYNARD, MA
Past
December 19, 2008 - March 28, 2014
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
MAYNARD, MA
Past
May 27, 2008 - February 2, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
OXFORD, MA
Past
May 27, 2008 - February 2, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
OXFORD, MA
Past
September 29, 2005 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
WORCESTER, MA
Past
August 15, 2005 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
WORCESTER, MA
Past
April 8, 2005 - July 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NATICK, MA
Past
October 20, 2004 - July 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
March 20, 1999 - September 25, 2000
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
November 5, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
November 5, 1991 - April 1, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
May 30, 1989 - November 1, 1991
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
June 7, 1979 - February 17, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
June 7, 1979 - February 17, 1989
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/1/1979
Registered Representative ExaminationCurrent Firm
TA
TRIAD ADVISORS LLC
ABLE FINANCIAL SERVICES | SOUTH FLORIDA WEALTH MANAGEMENT, LLC | SOBRINSKI FINANCIAL SERVICES, LLC | SINCLAIR FINANCIAL GROUP | SIKICH FINANCIAL, LLC (NAPERVILLE) | SHIRAZI BENEFITS | SCHULER INVESTMENT SERVICES | SANDSTONE ADVISOR | SANDEFUR & ASSOCIATES, LLC | ROSE FINANCIAL GROUP | ROMAN, BUTLER, FULLERTON & CO. | ROBERT W MILLER FINANCIAL SERVICES | RIVERTAN FINANCIAL GROUP | RICHARDSON INVESTMENT ADVISORY, LLC | RETIREMENT PLANNING ADVISORS, INC. | RETIREMENT BENEFITS GROUP | RETIREMENT ASSET MANAGEMENT | REGENT FINANCIAL WEALTH MANAGEMENT | R.B. GOLD & ASSOCIATES | PYRAMID FINANCIAL GROUP | PROXIMITY FINANCIAL PARTNERS | PROFESSIONAL ASSOCIATES WEALTH COACHING, INC. | POLARIS FINANCIAL SERVICES GROUP | PINKERTON BROKERAGE LLC | PEARSON AND CO. | PAYNE FINANCIAL SERVICES, INC. | PATHWAY WEALTH SOLUTIONS LLC | PARRY FINANCIAL | PARABLE FINANCIAL NETWORK (WAYCROSS) | PARABLE FINANCIAL NETWORK | OVERMAN CAPITAL MANAGEMENT | OPULENTMINDS, LLC | OPTIMUM FINANCIAL, LLC | ONE DIGITAL | OMNIHARBOR ASSET MANAGEMENT | OAK WEALTH MANAGEMENT | NOFFSINGER FINANCIAL GROUP | NIAGARA FINANCIAL ADVISORS, INC. | NEW HOPE FINANCIAL SERVICES | NET EQUITY CONCEPTS, INC. | NATHAN STIBBS | N/A | MICHAEL A. HERRON, CFP | MC_ WEALTH SOLUTIONS | MCDONALD WEALTH MANAGEMENT | MC2 WEALTH SOLUTIONS | MC WEALTH SOLUTIONS | MC ASSOCIATES | MATTHEW B BROZIK PRIVATE WEALTH MANAGEMENT | MATT PORTER FINANCIAL | MANIET FINANCIAL SERVICES NETWORK | MAKEFIELD ASSET MANAGEMENT, INC | MAKEFIELD ASSET MANAGEMENT INC. | LOCUST LANE PARTNERS | LIPMAN RICHARDSON, LLC | LEWIS WEALTH MANAGEMENT | LARSEN WEALTH MANAGEMENT | KZ WEALTH MANAGEMENT | KRINER FINANCIAL SERVICES GROUP | KNOXVILLE FINANCIAL SERVICES | KAPLAN FINANCIAL GROUP | JONTHOMAS MONEY MANAGEMENT | JOHN F. WILSON INVESTMENTS | JASON P. FLURRY, CFP | JACK KENDELL, CLU, CHFC, MBA | INVESTMENT DESIGNERS, INC. | INGLESIDE FINANCIAL ADVISORS, LLC | INCOMPASS FINANCIAL PARTNERS (MARIETTA) | INCOMPASS FINANCIAL PARTNERS | IMB SECURITIES, INC. | IMB INC. | HOBBS GROUP ADVISORS, LLC | HINES CAPITAL | HENDERSON HUTCHERSON & MCCULLOUGH CAPITAL ADVISORS | HELBIG FINANCIAL SERVICES | HEBCO INC. | HAWKINS & BOUKATHER, LLC | GREGG S LENTZ AND ASSOCIATES FINANCIAL PLANNING AND WEALTH MANAGEMENT | GIDWANI CAPITAL LLC | GENFINANCE, LLC | GCG FINANCIAL, LLC | GALLAGHER BENEFIT SERVICES | FUNDAMENTAL WEALTH ADVISORS, LLC | FULL CIRCLE WEALTH, LLC | FULL CIRCLE WEALTH LLC | FRICK INVESTMENT GROUP | FREEDOM FINANCIAL CONSULTANTS | FORESIGHT FINANCIAL PARTNERS | FOCUSED WEALTH, LLC | FINANCIAL STRATEGIES OF LAKE NORMAN | FINANCIAL RESOURCES, INC. | FINANCIA ADVISORS | FERRIN CAPITAL ADVISORS | EXECUTIVE FINANCIAL RESOURCES | EXCLUSIVE FINANCIAL RESOURCES, LLC | EXCLUSIVE ADVISORS LLC | EXCALIBUR FINANCIAL SERVICES | ESTATE & FINANCIAL SERVICES, INC. | ERSTAD FINANCIAL LLC | EMERY FINANCIAL GROUP | EMERALD WEALTH MANAGEMENT, LLC | E. PHILLIP POWELL, CPA | E. PHILLIP POWELL | E. F. WISE PLANNING, LLC | DUNHAM & DEITEL WEALTH MANAGEMENT | DOYLE INSURANCE | DAVID BORON | DAVID A HICKS, LTD. | D2 INVESTMENTS | CURTIN FINANCIAL SERVICES | CREATIVE CAPITAL WEALTH MANAGEMENT GROUP | CRA FINANCIAL SERVICE, LLC | CORNERSTONE FINANCIAL STRATEGIES | CONSOLIDATED PLANNING GROUP, INC | COMPASS WEALTH SERVICES | COMPASS FINANCIAL PARTNERS | COBBLESTONE WEALTH ADVISORS | CMA FINANCIAL SERVICES | CHRYSALIS CAPITAL MANAGEMENT | CHAU FINANCIAL GROUP, INC. | CD INTEGRITY FINANCIAL | CAPSTONE | CAPITAL ASSET MANAGEMENT COUNSELORS | CANTERBURY WEALTH ADVISORS, LLC | BUCCI FINANCIAL SERVICES | BRYBECK FINANCIAL | BROWN ADVISORY GROUP, LLC (CRANSTON) | BROWN ADVISORY GROUP, LLC | BRICKLER ASSET MANAGEMENT, INC. | BREWER FINANCIAL SERVICES, LLC | BRAESIDE INVESTMENT CORPORATION | BOWMAN & ASSOCIATES | BALANCED FINANCIAL PRINCIPLES | BALANCE FINANCIAL SOLUTIONS, LLC | ASSET MANAGEMENT ADVISORS, INC. | ASSET MANAGEMENT & PROTECTION | ASSET ADVISORS GROUP, LLC | ASCENT FINANCIAL | ARGENTUM CAPITAL MANAGEMENT | ARCHER INVESTMENT MANAGEMENT | APEX WEALTH MANAGEMENT, LLC | AMFED INVESTMENT SERVICES, LLC | AMERICAN FINANCIAL MANAGEMENT | AMA CAPITAL MANAGEMENT | ALERA GROUP | AIM ADVISORS...
CRD#: 25803 / SEC#: 801-55518, 8-42007
BD
Terminated by SEC on 10/25/2024
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(800) 720-4003
Established
Florida since 12/31/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
2,530
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | MEMBER | |
| CHAFFEE, HAROLD GERARD | VP, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| ROSENTHAL, JEFFREY LIN | CEO/PRESIDENT AND DIRECTOR | 2474795 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 4,228 |
| AUM (Assets Under Management) | $ 1,106,198,778 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
