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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Griswold has been in the financial services industry since 1994. Richard is currently registered with Regal Investment Advisors LLC. Richard has been a registered representative in the State of California since 2018. Richard is also a registered investment advisor in California and Texas. Prior to joining Regal Investment Advisors LLC, Richard worked for Cambridge Investment Research, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard specializes in portfolio management for businesses and individuals, financial planning, pension consulting, educational seminars, and selection of other advisors.
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.
Third party fees
1
2
CA
01/11/2021 - Present
Regal Investment Advisors LLC (Simi Valley CA)
CA
08/19/2011 - 12/05/2017
CAMBRIDGE INVESTMENT RESEARCH, INC. (Simi Valley CA)
CA
10/23/2009 - 08/22/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
07/30/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (VENTURA CA)
CA
04/02/2007 - 08/01/2007
MORGAN STANLEY & CO., INCORPORATED (GLENDALE CA)
CA
01/21/1999 - 04/02/2007
MORGAN STANLEY DW INC. (GLENDALE CA)
NJ
07/10/1998 - 02/17/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MI
01/21/1996 - 07/24/1998
OLDE DISCOUNT CORPORATION (DETROIT MI)
CA
02/03/1994 - 11/09/1994
MONTANO SECURITIES CORPORATION (ORANGE CA)
TX
02/23/1993 - 11/01/1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. (EL PASO TX)
CO
11/23/1992 - 12/15/1992
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 11/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/05/2012
Series 24 - General Securities Principal Examination
BC
Issued 04/21/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2006
Series 3 - National Commodity Futures Examination
BC
Issued 04/22/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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