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Richard Joseph Vertucci

Salient Wealth Planning

Encinitas, CA

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Current Employers
Salient Wealth Planning

171 Saxony Road Suite 211, Encinitas, CA 92024 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-31
  • CA RA
    APPROVED
    Since 2023-10-31

Branch Locations

171 Saxony Road Suite 211, Encinitas, CA 92024 • 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
Ameriprise Financial Services, Inc. Albany NY 10/2014 10/2023
Lakeside Tavern & Marina Gloversville NY 07/2013 03/2017
Swp Financial Llc Dba Salient Wealth Planning San Diego CA 10/2023 Present
  • 10/2014 → 10/2023
    Ameriprise Financial Services, Inc.
    Albany, NY
  • 07/2013 → 03/2017
    Lakeside Tavern & Marina
    Gloversville, NY
  • 10/2023 → Present
    Swp Financial Llc Dba Salient Wealth Planning
    San Diego, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-04
  • S66 Uniform Combined State Law Examination
    2018-05-04
Other Names
  • Richard Joseph Vertucci

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.

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Rasaan Moshesh
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Patrick Vento
VERONICA RODRIGUEZ

Other Offices

CETERA INVESTMENT ADVISERS LLC · ENCINITAS, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Encinitas, CA
WELLS FARGO CLEARING SERVICES, LLC · ENCINITAS, CA
EDWARD JONES · ENCINITAS, CA
LPL FINANCIAL LLC · ENCINITAS, CA
J.P. MORGAN SECURITIES LLC · ENCINITAS, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ENCINITAS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Encinitas, CA

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