Richard Cardinal
Richard Cardinal is a CFP-designated registered investment advisor at Janney Montgomery Scott LLC, based in West Hartford, CT, with 27 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 239,256 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Janney charges a fee based on a percentage of the assets managed in your account. This fee covers investment management, trading, custody, and performance reporting. Fees are negotiable and may vary based on the size of your account and the services provided. Janney may also offer investment advisory services on a non-wrap basis, where you pay separately for transactions and custody.
Location
15 N. Main Street, Suite 300, West Hartford, CT, 06107-2420
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Richard is a member of the West Hartford Chamber of Commerce since August 2023, networking with local businesses and promoting economic growth. This activity is not investment-related, uncompensated, and takes minimal time.
Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
Janney Montgomery Scott LLC
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLCBroker
Janney Montgomery Scott LLC
Janney Montgomery Scott LLCBroker
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
American Skandia Marketing, INC.Broker
Northstar Distributors, INC.Broker
Prudential Securities IncorporatedBroker
State Registrations34 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.