Richard T. Arden

ANDOVER INVESTMENT MANAGEMENT

ALGONQUIN, IL 60102

Some features on this profile are disabled

CRD#: 874025

Professional summary

Richard Thomas Arden, who also goes by Richard T Arden, is a registered financial advisor currently at ANDOVER INVESTMENT MANAGEMENT located in Algonquin, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Richard has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard T Arden

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 Richard Thomas Arden'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

January 9, 2002 - Present

ANDOVER INVESTMENT MANAGEMENT

Office #1: 280 Stonegate Road, Algonquin, IL 60102

RIA

CRD#: 124046

ALGONQUIN, IL

Past

February 11, 1997 - March 13, 2001

E-INVEST, INC.

CRD#: 18298

SAN FRANCISCO, CA

Past

January 14, 1997 - February 25, 1997

R.M. STARK & CO., INC.

CRD#: 7612

LAKE WORTH BEACH, FL

Past

November 5, 1993 - October 17, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 22, 1990 - November 8, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 11, 1988 - June 5, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 30, 1983 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 23, 1979 - April 18, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Illinois
(1/9/2002)

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: 11/28/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/26/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/19/1994

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/1986

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/12/1984

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 4/19/1983

NYSE Branch Manager Examination

Current Firm

ANDOVER INVESTMENT MANAGEMENT

CRD#: 124046 / SEC#:

Illinois

Registered Investment Advisory firm - (1/9/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Algonquin, IL

Mailing Address

Phone number

(847) 658-4610

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 6,000,000

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.

Similar Advisors

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard T. Arden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Thomas Arden's CRS (Customer Relationship Summary).

Certified licenses

Experience

E-INVEST, INC.

R.M. STARK & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/28/1994

Series 63

Date: 11/29/1979

Series 3

Date: 6/26/1984

Series 7

Date: 11/17/1979

Series 53

Date: 4/19/1994

Series 24

Date: 5/27/1986

Series 4

Date: 3/12/1984

Series 12

Date: 4/19/1983

Current Firm

ANDOVER INVESTMENT MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANDOVER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Similar Advisors