John R. Seale

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CRD#: 873018

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.

John Richard Seale, who also goes by Dick Seale, J. Richard Seale, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1979. John had worked at 5 firms and has passed the Series 63, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dick Seale | J. Richard Seale

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

April 19, 2013 - February 25, 2025

ADKINS SEALE CAPITAL MANAGEMENT LLC

RIA

CRD#: 166749

SHREVEPORT, LA

Past

November 18, 2010 - May 2, 2013

MORGAN STANLEY

RIA

CRD#: 149777

SHREVEPORT, LA

Past

June 1, 2009 - May 2, 2013

MORGAN STANLEY

CRD#: 149777

SHREVEPORT, LA

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SHREVEPORT, LA

Past

December 8, 2004 - April 18, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

SHREVEPORT, LA

Past

October 17, 1988 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

October 29, 1979 - October 17, 1988

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

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".

ADKINS SEALE CAPITAL MANAGEMENT LLC

ADKINS SEALE CAPITAL MANAGEMENT LLC | GOLDEN GATE, LLC

CRD#: 166749 / SEC#: 801-77795

RIA

Registered Investment Advisory firm - (4/5/2013 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: 7/11/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 11/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/20/1979

General Securities Representative Examination

Current Firm

ADKINS SEALE CAPITAL MANAGEMENT LLC

ADKINS SEALE CAPITAL MANAGEMENT LLC | GOLDEN GATE, LLC

CRD#: 166749 / SEC#: 801-77795

RIA

Registered Investment Advisory firm - (4/5/2013 Approved)

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Contact information

Main Address

333 Texas Street, Suite 2235, Shreveport, LA 71101

Mailing Address

Phone number

(318) 703-3641

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/10/2025)

APPENDIX 1 TO PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	427
AUM (Assets Under Management)	$ 410,826,833

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.

Contact information

xxxxx@xxxx.xxx

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John R. Seale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

Primary Firm SEC Registration

ADKINS SEALE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/1980

Series 5

Date: 11/17/1981

Series 7

Date: 10/20/1979

Current Firm

ADKINS SEALE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADKINS SEALE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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