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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Richards is a financial advisor with Osaic FA, Inc. in Sacramento, California. Neil has over 9 years of experience in the financial services industry. Neil is registered as a Registered Representative and Investment Advisor Representative in California and Texas. Neil is also licensed to offer insurance products such as fixed annuities, accident, health, disability, long-term care, and traditional life insurance. Neil has experience working for Wells Fargo Advisors, LLC and J.P. Morgan Securities LLC. Neil is committed to providing his clients with personalized financial advice and guidance to help them reach their financial goals.
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.
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.
Retirement plan consulting services provided on a limited basis.
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
CA
12/07/2023 - Present
Osaic FA, Inc. (SACRAMENTO CA)
CA
10/31/2016 - 04/18/2019
WELLS FARGO CLEARING SERVICES, LLC (SACRAMENTO CA)
CA
10/21/2014 - 10/14/2016
J.P. MORGAN SECURITIES LLC (ELK GROVE CA)
CA
11/02/2013 - 09/04/2014
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
IA
Issued 05/29/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/02/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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