Richard Alexander Keiser

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2024-08-23

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Wells Fargo Clearing Services, Llc	Ann Arbor	MI	08/2014	05/2018
Tiaa	Irvine	CA	12/2018	02/2023
Tiaa-Cref Individual & Institutional Services, Llc	Irvine	CA	12/2018	02/2023
Unemployed	Irvine	CA	05/2018	12/2018
Empower Financial Services, Inc	Greenwood Village	CO	04/2023	07/2023
Empower Advisory Group, Llc	Greenwood Village	CO	04/2023	07/2023
Fidelity Investment	Mission Viejo	CA	08/2023	07/2024
Charles Schwab & Co, Inc	Phoenix	AZ	07/2024	Present
Schwab Wealth Advisory, Inc	Phoenix	AZ	07/2024	Present

08/2014 → 05/2018

Wells Fargo Clearing Services, Llc

Ann Arbor, MI
12/2018 → 02/2023

Tiaa

Irvine, CA
12/2018 → 02/2023

Tiaa-Cref Individual & Institutional Services, Llc

Irvine, CA
05/2018 → 12/2018

Unemployed

Irvine, CA
04/2023 → 07/2023

Empower Financial Services, Inc

Greenwood Village, CO
04/2023 → 07/2023

Empower Advisory Group, Llc

Greenwood Village, CO
08/2023 → 07/2024

Fidelity Investment

Mission Viejo, CA
07/2024 → Present

Charles Schwab & Co, Inc

Phoenix, AZ
07/2024 → Present

Schwab Wealth Advisory, Inc

Phoenix, AZ

2023-08-16 → 2024-07-30

Fidelity Personal And Workplace Advisors

Mission Viejo, CA
2023-05-09 → 2023-08-01

Empower Advisory Group, Llc

Greenwood Village, CO

Irviine, CA
2019-01-04 → 2023-02-13

Tiaa-Cref Individual & Institutional Services, Llc

Newport Beach, CA

San Francisco, CA

Irvine, CA

Denver, CO

Palo Alto, CA

Charlotte, NC
2016-07-21 → 2018-05-14

Wells Fargo Clearing Services, Llc

Ann Arbor, MI

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-07-19

Other Firms