Jeffrey Richter has been CEO and CCO of Ares Financial Consulting since January 2016, is a control person of the firm and directly owns 75% or more of it.
Ares Financial Consulting LLC is a Calabasas, CA firm with $244M under management, 289 clients and 3 advisers across 3 offices, as of its August 2026 filing.
Jeffrey Richter’s longest registration is the current one, 10 years at Ares Financial Consulting since 2016. Before joining Ares Financial Consulting in 2016, Jeffrey Richter was registered through National Asset Management, Inc. and Wachovia Securities, LLC.
- Pacific Coast Fiduciary LLC– · 1 yearCalabasas, CA · Adviser representative · Firm CRD 330334
- – present · 10 yearsCalabasas, CA · Adviser representative · Firm CRD 282852
- National Asset Management, Inc.– · 6 yearsSherman Oaks, CA · Adviser representative · Firm CRD 115927
- Wachovia Securities, LLC– · 1 yearIrvine, CA · Adviser representative · Firm CRD 19616
- A. G. Edwards & Sons, Inc.– · 1 yearSan Juan Capistrano, CA · Adviser representative · Firm CRD 4
Investment adviser representative registrations
Jeffrey Richter is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from March 2016; the most recent is Texas, in March 2019.
- CaliforniaSince 18 March 2016
- TexasResidentSince 4 March 2019
- WashingtonSince 1 August 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 August 2013 |
| Series 3 | National Commodity Futures Examination | 21 September 2010 |
| Series 31 | Futures Managed Funds Examination | 26 February 2009 |
| Series 66 | Uniform Combined State Law Examination | 11 December 2006 |
| Series 7 | General Securities Representative Examination | 28 November 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 June 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 June 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- National Commodity Futures Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Jeffrey T Richter
- CRD
- 5156185
- Firm
- Ares Financial Consulting · CRD 282852
- Role
- CEO and CCO
- Office
- 4500 PARK GRANADA, SUITE 202, Calabasas, CA 91302
- Registration
- Investment adviser registration
- In the industry since
- December 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Jeffrey Richter work?
Jeffrey Richter has been CEO and CCO of Ares Financial Consulting LLC since January 2016, and is a control person of the firm.
Is Jeffrey Richter a financial advisor?
Yes. Jeffrey Richter has a current investment-adviser registration in California, Texas and Washington, through Ares Financial Consulting since March 2016.
How many years of experience does Jeffrey Richter have?
Jeffrey Richter has 19 years in the financial industry, since December 2006, across 5 adviser firms.
What exams has Jeffrey Richter passed?
Jeffrey Richter has passed 7 licensing exams: the Series 6, Series 63, Series 7, Series 66, Series 31, Series 3 and Series 24. The earliest, the Series 6, was passed in June 2006. FINRA credited Jeffrey Richter with the SIE, which began in October 2018.
Where did Jeffrey Richter work before Ares Financial Consulting?
Before Ares Financial Consulting, Jeffrey Richter was registered through National Asset Management, Inc., April 2009 to March 2016; Wachovia Securities, LLC, January 2008 to April 2009; A. G. Edwards & Sons, Inc., December 2006 to January 2008.
Where is Jeffrey Richter based?
Jeffrey Richter’s registered office is in Calabasas, CA.
Is Jeffrey Richter registered with FINRA?
No. Jeffrey Richter has no current broker registration.
How can I verify Jeffrey Richter’s record?
Search CRD 5156185 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jeffrey Richter’s full registration record.