Richard S. Sowell
Professional summary
Richard Steven Sowell, who also goes by Richard S Sowell, Steven Sowell, Steve Sowell, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Plano, Texas and VANGUARD MARKETING CORPORATION located in Plano, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Steven Sowell's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2025 - Present
VANGUARD ADVISERS, INC.
Office #1: 7900 Windrose Ave, Plano, TX 75024September 10, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 7900 Windrose Avenue, Plano, TX 75024January 21, 2014 - November 19, 2024
CETERA INVESTMENT ADVISERS LLC
May 9, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
May 9, 2013 - November 19, 2024
CETERA INVESTMENT SERVICES LLC
November 3, 2004 - February 21, 2013
AMEGY INVESTMENTS, INC.
November 3, 2004 - February 21, 2013
AMEGY INVESTMENTS, INC.
July 22, 1999 - October 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1999 - October 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1987 - August 19, 1999
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2025)
(9/10/2025)
Exams
Series 8
Date: 11/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
VANGUARD ADVISERS, INC.
CRD#: 106715Plano, TX 75024TRUST BUT VERIFY
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