Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Mootz is a financial advisor with over 24 years of experience in the industry. Richard is currently registered with Osaic Wealth, Inc. in California and Texas. Richard has previously worked at Securities America, Inc. and Brecek & Young Advisors, Inc. in California and Linsco/Private Ledger Corp. in South Carolina. Richard has a strong background in financial planning and portfolio management, and is committed to providing personalized service to his clients. Richard is also a Certified Financial Planner™.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
06/14/2024 - Present
Osaic Wealth, Inc. (SACRAMENTO CA)
CA
01/23/2009 - 06/14/2024
SECURITIES AMERICA, INC. (CHICO CA)
CA
01/03/2005 - 01/23/2009
BRECEK & YOUNG ADVISORS, INC. (PARADISE CA)
SC
06/16/2003 - 01/06/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
MO
07/07/1999 - 06/17/2003
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 09/23/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/31/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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