AdFi
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Richard Keith Marrone

Investment Adviser Representative at 1919 INVESTMENT COUNSEL, LLC

Charlotte, NCCRD #5845576Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
2 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaNorth Carolina
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/6/2010
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/2/2010
Series 53
Municipal Securities Principal Examination
Passed 1/31/2012

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
Individual Equity/Balanced - First $3M1.00%
Individual Equity/Balanced - Next $7M0.70%
Individual Equity/Balanced - Next $30M0.50%
Individual Equity/Balanced - Balance0.40%
Institutional Equity/Balanced - First $10M0.75%
Institutional Equity/Balanced - Next $15M0.60%
Institutional Equity/Balanced - Next $25M0.50%
Institutional Equity/Balanced - Balance0.40%
Individual Fixed Income - First $3M0.50%
Individual Fixed Income - Next $7M0.35%
Individual Fixed Income - Next $30M0.25%
Individual Fixed Income - Balance0.20%
Institutional Fixed Income - First $10M0.30%
Institutional Fixed Income - Next $15M0.20%
Institutional Fixed Income - Next $25M0.15%
Institutional Fixed Income - Balance0.10%
Account minimum: $2,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

1919 Investment Counsel, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

1919 INVESTMENT COUNSEL, LLCCurrent
12/18/2022Charlotte, NC
WASHINGTON CROSSING ADVISORS LLC
3/6/20203/31/2023Charlotte, NC
ZIEGLER CAPITAL MANAGEMENT, LLC
12/10/20153/2/2020San Francisco, CA
STIFEL, NICOLAUS & COMPANY, INCORPORATED
6/11/20153/24/2017Charlotte, NC
THOMAS WEISEL CAPITAL MANAGEMENT LLC
11/21/201312/9/2015San Francisco, CA
STIFEL, NICOLAUS & COMPANY, INCORPORATED
3/1/20126/10/2015San Francisco, CA
THOMAS WEISEL PARTNERS LLC
3/22/20113/1/2012San Francisco, CA
ADVISORS ASSET MANAGEMENT, INC.
12/7/20103/29/2011Charlotte, NC

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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