Chief Compliance Officer · International Assets Investment Management, LLC
Richard Jay Weiss
CRD 2523174 · Named on Form ADV at 3 SEC-registered advisers
At a glance
International Assets Investment Management, LLC, an SEC-registered wealth manager based in Orlando, FL with $2.6 billion in regulatory assets, lists Richard Jay Weiss on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Richard at 2 other registered advisers.
Firms and roles
- International Assets Investment Management, LLCChief Compliance OfficerWealth manager · Orlando, FL · $2.6B in regulatory assets
- Global Assets Advisory, LLCChief Compliance OfficerBroker-dealer firm · Orlando, FL · $552M in regulatory assets
- International Assets Advisory, LLCChief Compliance Officer, Chief AML CCOBroker-dealer firm · Orlando, FL · $0M in regulatory assets
AtlasMembers
Richard’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 3 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2003 (23 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Richard’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 3 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Edward Richard CofrancescoCEO, International Assets Investment Management, LLC
- Myra Pearle NicholsonChief Legal Officer, International Assets Investment Management, LLC
- David S WeinbergerChief Financial Officer, International Assets Investment Management, LLC
- Matthew Edward LampmanPresident/chief Operating Officer, International Assets Investment Management, LLC
- Ann Katherine MooreChief Business Development Officer, International Assets Advisory, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Richard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.