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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-24 |
| TX | RA | APPROVED_RES | 2025-01-24 |
Branch Locations
8880 Cal Center Drive Suite 220, Sacramento, CA 95826-3229 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Chase Bank | La Mesa | CA | 09/2014 | 09/2016 |
| Jp Morgan Securities Llc | La Mesa | CA | 09/2014 | 09/2016 |
| Wells Fargo Bank Na | Sacramento | CA | 09/2016 | 04/2019 |
| Wells Fargo Advisors Llc | Sacramento | CA | 10/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sacramento | CA | 11/2016 | 04/2019 |
| Lincoln Financial Advisors, Inc | Sacramento | CA | 04/2019 | 01/2025 |
| Osaic Wealth, Inc. | Sacramento | CA | 01/2025 | Present |
1) NEIL RICHARDS 8880 CAL CENTER DR. STE. 220, SACRAMENTO, CA 95826 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFER AND SERVICE FIXED INSURANCE PRODUCTS SUCH AS FIXED ANNUITIES, ACCIDENT, HEALTH, DISABILITY, LONG-TERM CARE, AND TRADITIONAL LIFE INSURANCE. START DATE: 07/22/2019 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-28 |
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