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John Kenneth Richards

Wealthspire Retirement Advisory

Madison, WI

Aliso Viejo, CA

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Current Employers
Wealthspire Retirement Advisory

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2019-06-17
  • WI RA
    APPROVED
    Since 2019-06-17

Branch Locations

10 Terrace Court Suite 103, Madison, WI 53718 • United States

120 Vantis Suite 400, Aliso Viejo, CA 92656 • 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
Baker Tilly Capital, Llc Madison WI 12/2008 06/2019
Bronfman E.L. Rothschild Lp Madison WI 05/2013 06/2019
Bronfman E.L. Rothschild Capital, Llc Madison WI 03/2016 06/2019
Nfp Retirement, Inc. Aliso Viejo CA 06/2019 10/2025
Wealthspire Retirement Advisory Aliso Viejo CA 10/2025 Present
  • 12/2008 → 06/2019
    Baker Tilly Capital, Llc
    Madison, WI
  • 05/2013 → 06/2019
    Bronfman E.L. Rothschild Lp
    Madison, WI
  • 03/2016 → 06/2019
    Bronfman E.L. Rothschild Capital, Llc
    Madison, WI
  • 06/2019 → 10/2025
    Nfp Retirement, Inc.
    Aliso Viejo, CA
  • 10/2025 → Present
    Wealthspire Retirement Advisory
    Aliso Viejo, CA
Previous Registrations
  • 2013-06-19 → 2020-01-02
    Wealthspire Advisors
    Potomac, MD
    Madison, WI
  • 2007-12-17 → 2013-07-08
    Baker Tilly Investment Advisors
    Madison, WI
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-08-05
S65 Uniform Investment Adviser Law Examination 2007-12-14
  • S63 Uniform Securities Agent State Law Examination
    2009-08-05
  • S65 Uniform Investment Adviser Law Examination
    2007-12-14
Designations

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Madison, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Madison, WI
LPL ENTERPRISE, LLC · MADISON, WI
CLF ASSET MANAGEMENT, INC. · MADISON, WI
EAGLE STRATEGIES LLC · MADISON, WI
VALMARK ADVISERS, INC. · Madison, WI
GREENPOINT ASSET MANAGEMENT V LLC · MADISON, WI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · MADISON, WI

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