RA
RA
Richard Arden
45 Years of Experience
Algonquin, IL
5 Disclosures
Richard Arden is a registered investment advisor at Andover Investment Management, based in Algonquin, IL, with 45 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 6 clients with $6M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
IM Fee
Planning only
Assets Under Management
$6.0M
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Location
280 Stonegate Road, Algonquin, IL, 60102
Get directionsHistory
Regulatory History (5)
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Regulatory
May 1998Final
Employment Separation After Allegations
September 1996Regulatory
July 1996Final
Customer Dispute
December 1993Settled
Employment Separation After Allegations
October 1993Employment History
Current Registrations
Andover Investment Management
January 2002 - Present · 24 yrs 4 mos
Previous Registrations
E-Invest, INC.Broker
February 1997 - March 2001 · 4 yrs 1 mo
Rm Stark & CO INC.Broker
January 1997 - February 1997 · 1 mo
Prudential Securities IncorporatedBroker
November 1993 - October 1996 · 2 yrs 11 mos
Painewebber IncorporatedBroker
May 1990 - November 1993 · 3 yrs 6 mos
Shearson Lehman Hutton INC.Broker
April 1988 - June 1990 · 2 yrs 2 mos
E. F. Hutton & Company INCBroker
March 1983 - April 1988 · 5 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1979 - April 1983 · 3 yrs 5 mos
State Registrations1 state
IL
Advisor
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Exams
No exam information available for this advisor.