Richard Henry Mootz

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → 06/2024
  Securities America, Inc.
  Chico, CA
• 01/2009 → 06/2024
  Securities America Advisors, Inc.
  Chico, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Chico, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Chico, CA

Previous Registrations

• 2009-01-23 → 2024-06-14
  Securities America Advisors, Inc.
  Paradise, CA
  Paradise, CA
  Chico, CA
• 2005-01-03 → 2009-02-07
  Brecek & Young Advisors, Inc.
  Paradise, CA
  Folsom, CA
  Paradise, CA
  Paradise, CA
• 2004-09-24 → 2005-01-06
  Lpl Financial Llc
  Paradise, CA

Exams

• S66 Uniform Combined State Law Examination
  2004-09-23
• S63 Uniform Securities Agent State Law Examination
  1999-07-08

Designations

• Certified Financial Planner

Other Names

• Rick Mootz
• Richard Mootz