Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Cato Rich has been in the financial services industry since November 2000. John is currently registered with LPL Financial LLC as a Registered Representative. Previously, John was registered with Investment Centers of America, Inc., Edward Jones, and A. G. Edwards & Sons, Inc. John holds the Series 63, Series 66 and Series 7 securities licenses and the SIE exam. John holds 23 state securities licenses and is registered as an investment advisor representative in Texas. John is associated with the Kerrville, TX branch office of LPL Financial LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
11/29/2017 - Present
LPL Financial LLC (KERRVILLE TX)
TX
04/11/2005 - 11/29/2017
INVESTMENT CENTERS OF AMERICA, INC. (KERRVILLE TX)
MO
04/05/2002 - 04/13/2005
EDWARD JONES (ST. LOUIS MO)
MO
11/07/2000 - 04/12/2002
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 05/02/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/07/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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