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Kevin Robert Richard

Wells Fargo Clearing Services, LLC

Santa Barbara, CA

Goleta, CA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-02-08
CA RA APPROVED 2005-02-03
  • TX RA
    APPROVED_RES
    Since 2022-02-08
  • CA RA
    APPROVED
    Since 2005-02-03

Branch Locations

3660 State St, Santa Barbara, CA 93105 • United States

Goleta, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Santa Barbara CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Santa Barbara CA 11/2016 Present
Previous Registrations
  • 1998-08-24 → 2005-02-01
    Morgan Stanley Dw Inc.
    Santa Barbar, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-10-09
S65 Uniform Investment Adviser Law Examination 1996-10-09
  • S63 Uniform Securities Agent State Law Examination
    1996-10-09
  • S65 Uniform Investment Adviser Law Examination
    1996-10-09

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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