Richard Seeley has been Treasurer, Director, Secretary, Chief Compliance Officer of Pinney & Scofield since July 2021, is a control person of the firm and directly owns between 50% and 75% of it. Richard Seeley holds a Degree in engineering with a minor in management from Rensselaer Polytechnic Institute.
Pinney & Scofield, Inc. is a Cambridge, MA firm with $859M under management, 295 clients and 3 advisers across 4 offices, as of its March 2026 filing.
Richard Seeley became a partner of Pinney & Scofield in 2021. He has worked in the advisory business after five years with Prudential Insurance, and served over five years in the United States Air Force.
Richard Seeley’s longest registration is the current one, 13 years at Pinney & Scofield since 2013. Before joining Pinney & Scofield in 2013, Richard Seeley was registered through Arc Investment Planning & Management Inc and WS Securities Inc.
- Arc Investment Planning & Management Inc– · 3 yearsLenox, MA · Adviser representative · Firm CRD 126355
- WS Securities Inc– · 3 yearsLenox, MA · Adviser representative · Firm CRD 106910
- American Investment Services Inc– · 5 yearsGreat Barrington, MA · Adviser representative · Firm CRD 110043
Professional designations
Listed by Pinney & Scofield
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Richard Seeley is registered as an investment adviser representative in 2 states. The first approvals date from July 2013; the most recent is Texas, in November 2018.
- MassachusettsSince 29 July 2013
- TexasSince 1 November 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 6 March 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Richard Anthony Seeley
- CRD
- 4643930
- Firm
- Pinney & Scofield · CRD 105365
- Role
- Treasurer, Director, Secretary, Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- September 2004
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pinneyandscofield.com
Where does Richard Seeley work?
Richard Seeley has been Treasurer, Director, Secretary, Chief Compliance Officer of Pinney & Scofield, Inc. since July 2021, and is a control person of the firm.
Is Richard Seeley a financial advisor?
Yes. Richard Seeley has a current investment-adviser registration in Massachusetts and Texas, through Pinney & Scofield since July 2013.
How many years of experience does Richard Seeley have?
Richard Seeley has 22 years in the financial industry, since September 2004, across 4 adviser firms.
What exams has Richard Seeley passed?
Richard Seeley passed the Series 65 in March 2002.
Where did Richard Seeley work before Pinney & Scofield?
Before Pinney & Scofield, Richard Seeley was registered through Arc Investment Planning & Management Inc, December 2009 to July 2013; WS Securities Inc, December 2009 to July 2013; American Investment Services Inc, August 2004 to December 2009.
Is Richard Seeley registered with FINRA?
No. Richard Seeley has no current broker registration.
Is Richard Seeley a CFP?
Pinney & Scofield lists Richard Seeley with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Richard Seeley’s record?
Search CRD 4643930 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Seeley’s full registration record.