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Phillip Croce Richards

CRI SECURITIES, LLC·ST.PAUL, Minnesota
SIE, Series 1, Series 7TO, Series 24, Series 63Clean record22 years registeredCRI SECURITIES, LLC
400 ROBERT STREET NORTH, ST.PAUL, MN 55101CRD# 375618Firm CRD# 22589

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Phillip Croce Richards · ST.PAUL, MN
Registration
CRD #375618 · CRI SECURITIES, LLC · 22 years registered
Brand Profile
Not yet started
01

Career History

CETERA INVESTMENT ADVISERS LLC
Aug 2023 – present
CETERA WEALTH SERVICES, LLC
Aug 2023 – present
CRI SECURITIES, LLC
Dec 2013 – Oct 2021
MINNEAPOLIS, MN
SECURIAN FINANCIAL SERVICES, INC.
Dec 2013 – Aug 2023
MINNEAPOLIS, MN
MARATHON ADVISORS, INC
Sep 2003 – Sep 2008
MINNEAPOLIS, MN
02

Registrations & Exams

FINRA examinations passed
SIE
Series 1
Series 7TO
Series 24
Series 63
Registration record
First registered · September 26, 2003
Years registered · 22
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
CRI SECURITIES, LLC
CRD 22589 · SEC 801-62434
AUM
$1.7B
Regulatory assets under management
Employees
269
4,517 client accounts
Services offered by CRI SECURITIES, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Charitable organization or education services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at CRI SECURITIES, LLC →
Introduction

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05

Frequently Asked Questions

What services does Phillip Croce Richards offer?
Phillip Croce Richards specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in ST.PAUL, Minnesota for a consultation.
What are Phillip Croce Richards's credentials?
Phillip Croce Richards is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Phillip Croce Richards located?
Phillip Croce Richards is based in ST.PAUL, Minnesota, working with CRI SECURITIES, LLC. Their office serves clients in the ST.PAUL metropolitan area and surrounding communities.
How does Phillip Croce Richards charge for services?
Phillip Croce Richards's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CRI SECURITIES, LLC?
CRI SECURITIES, LLC has approximately 269 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at CRI SECURITIES, LLC

Loyall Edward Wilson
ST.PAUL, MN
Anthony Joseph Martins
ST.PAUL, MN
David Nmn Vasos
ST.PAUL, MN
CFP
Edward George Deutschlander
ST.PAUL, MN

Browse by Specialty

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Nearby cities in Minnesota
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