Christopher Murphy Rich

Employer firm

Tribeca Financial, LLC CRD 113245

$248M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
SOLICITATION

From the firm’s Form ADV. Read the guides:

Current Employers

Tribeca Financial, Llc

2812 N. Norwalk Ste 103, Mesa, AZ 85215 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2012-01-25

AZ RA
APPROVED

Since 2012-01-25

Branch Locations

3254 E Cactus Road, Pheonix, AZ 85032 • United States

2812 N. Norwalk Ste 103, Mesa, AZ 85215 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tribeca Financial, Llc	Mesa	AZ	08/2008	Present
Rich Financial Group, Llc	Phoenix	AZ	02/1992	Present

08/2008 → Present

Tribeca Financial, Llc

Mesa, AZ
02/1992 → Present

Rich Financial Group, Llc

Phoenix, AZ

Previous Registrations

2009-04-09 → 2011-12-31

Tribeca Advisors, Llc

Mesa, AZ
2009-02-02 → 2009-11-04

Tribeca Financial, Llc

Mesa, AZ
2001-01-01 → 2004-10-29

Eagle Strategies Llc

Scottsdale, AZ

Other Businesses

RICH FINANCIAL GROUP, LLC; NOT INVESTMENT-RELATED; START: 02/1992; 3254 E. CACTUS ROAD PHOENIX, AZ 85032; INSURANCE SALES; OWNER / PRINCIPAL; 10 HOURS/WEEK ON INSURANCE SERVICES; 2-3 HOURS/ WEEK SPENT DURING SECURITIES TRADING HOURS. NORACE, LLC; NOT INVESTMENT RELATED; START: 02/2002; 3254 E. CACTUS RD., PHOENIX, AZ 85032; PROPERTY INVESTMENTS; OWNER / PRINCIPAL; LESS THAN 1 HOUR/MONTH SPENT; 0 HOURS/TRADING HOURS. Manager; Goldenhawk Professionals, LLC; investment related: No; Location: 3254 East Cactus Rd Phoenix AZ 85032 United States; Description of the business: Business Exit Planning; Responsibilities Duties: Client meetings and collaboration regarding business exit planning for clients.; Start date with business: 2012-08-19; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 10; Owner; AZ Fly Shop, LLC; investment related: No; Location: 3254 East Cactus Rd Phoenix AZ 85032 United States; Description of the business: Fly fishing retail store.; Responsibilities Duties: Occasional meetings.; Start date with business: 2021-04-19; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 0;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-01-10

S63 Uniform Securities Agent State Law Examination

1994-01-10

Designations

Certified Financial Planner

Other Names

Chris Rich

View on SEC IAPD