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Detailed Report
Richard James Perry III
RICHARD JAMES PERRY III, RICK PERRY, Rick Perry
CRD#: 3009862
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 3805 EDWARDS ROAD
SUITE 200
CINCINNATI, OH 45209
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BW&S BROKERAGE SERVICES, INC. (CRD# 8099)2005 - 2007 (2 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2003 - 2004 (1 year)BINSTITUTIONAL BROKERAGE SERVIC... (CRD# 21947)1999 - 2002 (3 years)IAFORT WASHINGTON INVESTMENT ADV... (CRD# 107126)2005 - 2009 (4 years)IASTRATEGIC INSTITUTIONAL CONSUL... (CRD# 149268)2009 - 2009 (<1 year)IAFUND EVALUATION GROUP, LLC (CRD# 121658)2002 - 2003 (1 year)
License(s)

State Registrations

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Florida 7/8/2024
IA
Ohio 5/4/2021
B
Ohio 5/4/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
3805 EDWARDS ROAD SUITE 200, CINCINNATI, OH 45209
Registered with this firm since 5/4/2021
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
3805 EDWARDS ROAD SUITE 200, CINCINNATI, OH 45209
Registered with this firm since 3/1/2021
Previous Registration(s)
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 01/26/2005 - 11/10/2009 FORT WASHINGTON INVESTMENT ADVISORS INC (CRD#:107126) CINCINNATI, OH
IA
 06/22/2009 - 07/15/2009 STRATEGIC INSTITUTIONAL CONSULTING GROUP, LLC (CRD#:149268) CINCINNATI, OH
B
 01/25/2005 - 02/28/2007 W&S BROKERAGE SERVICES, INC. (CRD#:8099) CINCINNATI, OH
B
 08/07/2003 - 12/13/2004 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
IA
 07/31/2002 - 08/12/2003 FUND EVALUATION GROUP, LLC (CRD#:121658) CINCINNATI, OH
B
 03/25/1999 - 12/04/2002 INSTITUTIONAL BROKERAGE SERVICES CORPORATION (CRD#:21947) CINCINNATI, OH
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.