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Richard Alan Parrett

Investment Adviser Representative at THRIVE CAPITAL MANAGEMENT, LLC

FORT WASHINGTON, PACRD #2038506Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
35 yrs
States Registered
2 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
New JerseyPennsylvania
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/18/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 5/16/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/17/1990

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $1,000,0001.50%
$1,000,001 - $2,500,0001.00%
$2,500,001 - $5,000,0000.75%
$5,000,001 - $10,000,0000.50%
Over $10,000,001
Source

THRIVE CAPITAL Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

EMPOWER FINANCIAL SERVICES, INC.
9/24/20215/24/2024GREENWOOD VILLAGE, CO
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
6/14/20079/10/2021NEWARK, NJ
FIRST UNION BROKERAGE SERVICES, INC.
4/7/199910/1/2000CHARLOTTE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
3/20/19903/7/1995NEW YORK, NY
COPELAND EQUITIES, INC.
3/13/19954/2/1999SOMERSET, NJ
CUSO FINANCIAL SERVICES, L.P.
10/15/20031/26/2007EWING, NJ
FIRST UNION SECURITIES, INC.
10/1/20003/30/2001ST. LOUIS, MO
WACHOVIA SECURITIES, LLC
1/8/200210/14/2003ST. LOUIS, MO

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Alan Parrett has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.