Richard Lee Stone
CFP®Professional Summary
Richard Lee Stone, CFP®, who also goes by Rick Stone, Rik Stone, is a registered financial advisor currently at BERGER FINANCIAL GROUP located in Springfield, Illinois. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Richard has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Stone, Rik Stone
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Credentials
Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
BELL WEALTH MANAGEMENT | TONDRYK WEALTH MANAGEMENT | ROBERT GORDON ASSOCIATES, INC. | INDEPENDENT FINANCIAL COMPANY | BERGER FINANCIAL GROUP, LLC | BERGER FINANCIAL GROUP, INC. | BERGER FINANCIAL GROUP
Contact Information
Main Address
1695 State Hwy 169 N, Plymouth, MN 55441Phone Number
(763) 746-2666# of Employees
89SEC notice filing (41 States and Territories)
Registered to provide investment advisory services in 41 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
11,139AUM (Assets Under Management)
$2,948,862,004Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
BELL WEALTH MANAGEMENT | TONDRYK WEALTH MANAGEMENT | ROBERT GORDON ASSOCIATES, INC. | INDEPENDENT FINANCIAL COMPANY | BERGER FINANCIAL GROUP, LLC | BERGER FINANCIAL GROUP, INC. | BERGER FINANCIAL GROUP
State Registrations and Notice Filings
(1/24/2024)
(12/9/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Stone's CRS (Customer Relationship Summary).
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