Unclaimed Profile

Richard Lee Counts

MAINSTREET RIA LLC·O'FALLON, Missouri

SIE, Series 4, Series 7, Series 8, Series 24, Series 51, Series 63, Series 6523 years registeredMAINSTREET RIA LLC

6700 KEATON CORPORATE PARKWAY, O'FALLON, MO 63368CRD# 2428369Firm CRD# 309150

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Lee Counts · O'FALLON, MO

Registration

CRD #2428369 · MAINSTREET RIA LLC · 23 years registered

Brand Profile

Not yet started

Career History

MAINSTREET RIA LLC

Aug 2020 – present

VALIC FINANCIAL ADVISORS, INC.

Jun 2007 – Sep 2020

HOUSTON, TX

LINSCO/PRIVATE LEDGER CORP.

Jun 2004 – Nov 2005

ST. PETERS, MO

MAIN STREET MANAGEMENT COMPANY

Feb 2004 – Jun 2004

ST LOUIS, MO

CHARLES SCHWAB & CO., INC.

Oct 2002 – Jan 2004

CLAYTON, MO

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 8

Series 24

Series 51

Series 63

Series 65

Registration record

First registered · October 3, 2002

Years registered · 23

Disclosure History

1997Customer Dispute·Closed-No Action

1997Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

MAINSTREET RIA LLC

CRD 309150 · SEC 801-121454

AUM

$375M

Regulatory assets under management

Employees

136 client accounts

Services offered by MAINSTREET RIA LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

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Introduction

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Frequently Asked Questions

What services does Richard Lee Counts offer?

Richard Lee Counts specializes in Financial Planning, Investment Management. Contact their office in O'FALLON, Missouri for a consultation.

What are Richard Lee Counts's credentials?

Richard Lee Counts is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Lee Counts located?

Richard Lee Counts is based in O'FALLON, Missouri, working with MAINSTREET RIA LLC. Their office serves clients in the O'FALLON metropolitan area and surrounding communities.

How does Richard Lee Counts charge for services?

Richard Lee Counts'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 MAINSTREET RIA LLC?

MAINSTREET RIA LLC has approximately 3 employees and manages $375M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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Other Advisors at MAINSTREET RIA LLC

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Investment Management Retirement Planning Wealth Management Financial Planning Fee-Only Advisory Financial Education

Nearby cities in Missouri

ST. LOUIS (349)KANSAS CITY (148)CLAYTON (77)CHESTERFIELD (69)SAINT LOUIS (65)SPRINGFIELD (36)MANCHESTER (20)COLUMBIA (18)ST. PETERS (16)JEFFERSON CITY (10)

City Guides

ST. LOUIS Guide KANSAS CITY Guide CLAYTON Guide CHESTERFIELD Guide SAINT LOUIS Guide

Research

Advisor Fees in Missouri National Fee Analysis

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