Richard Wargo

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2022-10-20

OR RA
APPROVED

Since 2022-10-20

Branch Locations

16798 Sw Edy Rd Suite 118, Sherwood, OR 97140 • United States

9460 Sw Wilsonville Rd Suite 101, Wilsonville, OR 97070 • United States

19200 Sw Martinazzi Ave , Tualatin, OR 97062 • United States

4105 E Crestview Drive Suite 105, Newberg, OR 97132 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Co	Lake Oswego	OR	05/2020	10/2022
Mml Investors Services, Llc	Lake Oswego	OR	09/2020	10/2022
West Coast Event Production	Portland	OR	08/2019	03/2020
3-Point Brand Management	Tigard	OR	08/2018	07/2019
Infinity Impressions	Tualatin	OR	06/2016	07/2018
Unemployed	Tigard	OR	03/2020	05/2020
Raymond James Financial Services	Gresham	OR	10/2022	Present
Raymond James Financial Services Advisors	Gresham	OR	10/2022	Present
Onpoint Community Credit Union	Newberg	OR	10/2022	Present
Onpoint Investment Services	Gresham	OR	10/2022	Present

05/2020 → 10/2022

Massmutual Life Insurance Co

Lake Oswego, OR
09/2020 → 10/2022

Mml Investors Services, Llc

Lake Oswego, OR
08/2019 → 03/2020

West Coast Event Production

Portland, OR
08/2018 → 07/2019

3-Point Brand Management

Tigard, OR
06/2016 → 07/2018

Infinity Impressions

Tualatin, OR
03/2020 → 05/2020

Unemployed

Tigard, OR
10/2022 → Present

Raymond James Financial Services

Gresham, OR
10/2022 → Present

Raymond James Financial Services Advisors

Gresham, OR
10/2022 → Present

Onpoint Community Credit Union

Newberg, OR
10/2022 → Present

Onpoint Investment Services

Gresham, OR

Previous Registrations

2022-03-23 → 2022-10-21

Mml Investors Services, Llc

Lake Oswego, OR

Other Businesses

(1) Name of Business: OnPoint Community Credit Union Address: 4105 E Crestview DR ST 105, Newberg, OR, 97132, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 10/17/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor (2)Name of Business: OnPoint Investment Services Address: 1754 NW Civic Dr Ste 100, Gresham, OR, 97030, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 10/17/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-02-28

S66 Uniform Combined State Law Examination

2022-02-28

View on SEC IAPD