Richard Brooks Brydges

Current Employers

Employment History

• 06/2013 → 11/2017
  Dw Advisors Llc
  Newport Beach, CA
• 08/2016 → 12/2016
  Arete Wealth Management Llc
  Newport Beach, CA
• 07/2017 → 06/2018
  Niagara International Capital, Ltd.
  San Diego, CA
• 12/2017 → Present
  Balboa Wealth Partners, Inc./ Dba Nautical Wealth Management
  La Jolla, CA
• 06/2018 → 10/2018
  D.H. Hill Securities, Lllp
  Kingwood, TX
• 06/2019 → 06/2019
  Pensionmark Financial Group, Llc
  Santa Barbara, CA
• 11/2020 → Present
  Compass Realty
  Carlsbad, CA

Previous Registrations

• 2019-06-21 → 2019-06-24
  World Investment Advisors, Llc
  Solana Beach, CA
  Lincroft, NJ
• 2015-01-28 → 2017-12-04
  Daniel Wealth Advisors
  Encinitas, CA
  Corona Del Mar, CA
• 2013-06-27 → 2014-12-31
  Daniel Wealth Advisors
  Encinitas, CA
• 2010-09-28 → 2012-04-16
  J.P. Morgan Private Wealth Advisors Llc
  San Francisco, CA
• 2010-06-04 → 2010-09-30
  First Republic Wealth Advisors, Llc
  San Francisco, CA
• 2009-06-01 → 2010-06-21
  Morgan Stanley
  San Diego, CA
  La Jolla, CA
• 2006-01-06 → 2009-06-01
  Citigroup Global Markets Inc.
  San Diego, CA
• 1999-04-12 → 2006-01-09
  Morgan Stanley Dw Inc.
  San Diego, CA

Other Businesses

1) Compass Realty, Carlsbad, CA; Not Investment related; Retail Residential Real Estate; Position: Referring Agent; Start Date: 11/2020, Hours per month: 10 outside of securities trading hours. 2) Balboa Wealth Partners, Inc./Nautical Wealth Management, DBA; Encinitas, CA; Investment advisory; Start date: 01/2018; Position: Investment Adviser Representative/CIO, Portfolio Manager, Nautical Wealth; Hours per month: 80 during securities trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2014-09-22
• S65 Uniform Investment Adviser Law Examination
  1997-07-02
• S63 Uniform Securities Agent State Law Examination
  1996-03-26

Other Names

• Richard Brooks Brydges