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Richard Lee Stone

Berger Financial Group

Springfield, IL

Plymouth, MN

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Current Employers
Berger Financial Group

1695 State Hwy 169 N, Plymouth, MN 55441 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-12-09
IL RA APPROVED 2024-01-24
  • TX RA
    APPROVED
    Since 2024-12-09
  • IL RA
    APPROVED
    Since 2024-01-24

Branch Locations

1201 Veterans Parkway, Suite A, Springfield, IL 62704 • United States

1695 State Hwy 169 N, Plymouth, MN 55441 • 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
Robert Gordon And Associates Springfield IL 08/1990 01/2024
Berger Financial Group Plymouth MN 01/2024 Present
  • 08/1990 → 01/2024
    Robert Gordon And Associates
    Springfield, IL
  • 01/2024 → Present
    Berger Financial Group
    Plymouth, MN
Previous Registrations
  • 1998-01-09 → 2024-02-07
    Robert Gordon & Associates Inc
    Springfield, IL
Other Businesses

Financial Planning

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-30
S63 Uniform Securities Agent State Law Examination 1991-12-17
  • S65 Uniform Investment Adviser Law Examination
    1998-01-30
  • S63 Uniform Securities Agent State Law Examination
    1991-12-17
Designations
Other Names
  • Rick Stone
  • Rik Stone

View on SEC IAPD

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Other Offices

ADVANCED TRADER INVESTMENT ADVISORS, LLC. · SPRINGFIELD, IL
CETERA INVESTMENT ADVISERS LLC · SPRINGFIELD, IL
CETERA INVESTMENT ADVISERS LLC · SPRINGFIELD, IL
LPL FINANCIAL LLC · SPRINGFIELD, IL
OSAIC INSTITUTIONS, INC. · Springfield, IL
WEALTH MANAGEMENT SERVICES,LLC · SPRINGFIELD, IL
WEALTH MANAGEMENT SERVICES,LLC · SPRINGFIELD, IL
WEALTH MANAGEMENT SERVICES,LLC · SPRINGFIELD, IL

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