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Richard Rifredi

Los Gatos Financial LLC

Los Gatos, CA

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Current Employers
Los Gatos Financial Llc

236 N. Santa Cruz Ave. Ste 207, Los Gatos, CA 95030 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-12
  • CA RA
    APPROVED
    Since 2024-03-12

Branch Locations

236 N. Santa Cruz Ave. Ste 207, Los Gatos, CA 95030 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Los Gatos Financial Llc Los Gatos CA 02/2024 Present
Los Gatos Financial Llc Los Gatos CA 01/2024 Present
Sole Proprietor Los Gatos CA 03/2016 11/2023
Get Smart Labs Los Gatos CA 10/2020 11/2021
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-08-14
  • S65 Uniform Investment Adviser Law Examination
    2023-08-14

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MAINSTREET FINANCIAL PLANNING, INC.

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
DIEU TRAN
ELYSSA JOY QUILLA VERZOSA

Other Offices

STRATEGIC ADVISERS LLC · LOS GATOS, CA
J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
MAINSTREET FINANCIAL PLANNING, INC. · LOS GATOS, CA

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