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Richard Tobey Kagan

Commonwealth Financial Network

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About Richard Tobey Kagan

Richard Tobey Kagan is a financial advisor with over 40 years of experience in the industry. Richard is currently registered with Commonwealth Financial Network. He is licensed to provide financial advice in several states. Richard is a highly experienced advisor and has worked with clients of various backgrounds, including individuals, businesses, and institutions. His expertise lies in financial planning, portfolio management, and retirement planning. He is dedicated to providing personalized and comprehensive financial services to his clients.

Firm Information

Richard Kagan is currently registered with Commonwealth Financial Network. Commonwealth Financial Network is an Approved Limited Liability Company formed in August 2017 and headquartered in Waltham, Massachusetts. The firm provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses and individuals, and other advisory services. They have a presence in all 50 states, as well as in Puerto Rico and the Virgin Islands. The firm manages approximately $177 billion in regulatory assets under management and has a large network of licensed agents, investment adviser representatives, registered representatives, and investment advisory functions. They cater to various client types, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and state or municipal government entities.
Commonwealth Financial Network

29 SAWYER ROAD

WALTHAM, MA 02453-3483

$177.03B

Assets Under Management

19,600

Total Clients

3,791

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Kagan’s Registration & Firm History

NC

12/31/2000 - Present

Commonwealth Financial Network (CHAPEL HILL NC)

NJ

01/04/1999 - 12/31/1999

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

NJ

01/03/1996 - 12/31/1998

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

NA

08/04/1994 - 01/04/1996

THE ROBINSON-HUMPHREY COMPANY INC.

GA

05/27/1994 - 01/04/1996

THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)

NY

07/31/1993 - 06/03/1994

SMITH BARNEY INC. (NEW YORK NY)

NY

07/13/1990 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

MA

07/03/1989 - 06/25/1990

LONG GROVE TRADING CO. (BOSTON MA)

NA

11/27/1985 - 08/04/1987

S.G. WARBURG & CO. INC.

NA

06/04/1984 - 12/17/1985

PRUDENTIAL-BACHE SECURITIES INC.

NA

11/05/1978 - 07/21/1982

LEHMAN BROTHERS KUHN LOEB INCORPORATED

NA

11/01/1977 - 07/26/1978

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

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Licenses & Designations

IA

Issued 09/16/1991

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/06/1979

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/02/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/1990

Series 3 - National Commodity Futures Examination

BC

Issued 10/21/1978

Series 7 - General Securities Representative Examination

BC

Issued 10/21/1977

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Tobey Kagan.
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