Richard Earl Umbarger

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-10-28
TX	RA	APPROVED	2022-10-28

CA RA
APPROVED

Since 2022-10-28
TX RA
APPROVED

Since 2022-10-28

Branch Locations

Huntington Beach, CA • United States

620 Newport Ctr Dr Suite 900, Newport Beach, CA 92660 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Irvine	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Irvine	CA	11/2016	10/2022
Raymond James & Associates	Newport Beach	CA	10/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Irvine, CA
11/2016 → 10/2022

Wells Fargo Clearing Services, Llc

Irvine, CA
10/2022 → Present

Raymond James & Associates

Newport Beach, CA

Previous Registrations

2009-05-01 → 2022-11-03

Wells Fargo Clearing Services, Llc

Irvine, CA
1999-01-11 → 2009-05-21

Citigroup Global Markets Inc.

Orange, CA

Orange, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-12-16
S63	Uniform Securities Agent State Law Examination	1998-12-15

S65 Uniform Investment Adviser Law Examination

1998-12-16
S63 Uniform Securities Agent State Law Examination

1998-12-15

Other Names

Ricky Earl Umbarger

View on SEC IAPD