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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Farley Richards is an investment advisor representative at Western International Securities, Inc. Richards is a registered investment advisor in California and Texas. He has been active in the financial industry since 1986. Previously, Richards was employed with Financial West Group and Financial West Investment Group, where he gained experience in various financial roles. His areas of expertise include portfolio management, financial planning, and pension consulting. Richards provides services to individuals, businesses, and charitable organizations. He currently holds Series 7, 24, and 63 licenses.
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.
1
2
CA
12/21/2023 - Present
Western International Securities, Inc. (Carlsbad CA)
CA
04/30/1991 - 08/21/2017
FINANCIAL WEST GROUP (CARLSBAD CA)
NA
09/21/1988 - 04/30/1991
FINANCIAL WEST INVESTMENT GROUP
NA
04/30/1986 - 07/30/1988
AMERICAN PACIFIC SECURITIES CORPORATION
NA
04/23/1986 - 05/21/1986
BARABAN SECURITIES, INC.
BC
Issued 06/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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