Richard Michael Ligotti

Employer firm

Laguna Niguel Summit Wealth Management, LLC CRD 283837

21 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → Present
  Laguna Niguel Summit Wealth Managment, Llc
  Laguna Niguel, CA

Previous Registrations

• 2010-04-27 → 2016-07-18
  Independent Financial Group, Llc
  San Diego, CA
  San Diego, CA
  Laguna Niguel, CA
• 2006-03-01 → 2010-04-27
  Afa Advisor Services Llc
  Laguna Niguel, CA
  Calabasas, CA
• 2003-09-26 → 2004-09-10
  William Jordan Investments, Inc.
  Lagura Hills, CA

Other Businesses

(1) CA INDEPENDENT INSURANCE AGENT - OFFERING SALES OF LIFE, LONG TERM CARE, AND INDEX ANNUTIES SINCE 06/2004. NON INVESTMENT RELATED, APPROX 10% TIME SPENT, BUSINESS CONDUCTED FROM OFFICE ADDRESS OF RECORD

Exams

• S66 Uniform Combined State Law Examination
  2002-11-14
• S63 Uniform Securities Agent State Law Examination
  1998-10-23