Richard M. Blosser

PATHFINDER WEALTH ADVISORS

Los Angeles, CA 90067

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CRD#: 1676712

Professional summary

Richard Marion Blosser was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Prior to being barred, Richard has worked at 7 firms, which includes AXXCESS WEALTH MANAGEMENT LLC, WEDBUSH SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY & CO. LLC, TP ICAP GLOBAL MARKETS AMERICAS LLC.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

(1) PATHFINDER WEALTH ADVISORS,LLC - CCO/ IAR / OWNER - LOS ANGELES, CA (2) AXXCESS WEALTH MANAGEMENT,LLC- IAR - LOS ANGELES, CA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Marion Blosser's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 26, 2020 - Present

PATHFINDER WEALTH ADVISORS, LLC

Office #1: 2029 Century Park East Ste 400n, Los Angeles, CA 90067

RIA

CRD#: 305910

Los Angeles, CA

Past

January 5, 2022 - March 14, 2023

AXXCESS WEALTH MANAGEMENT, LLC

RIA

CRD#: 164081

Los Angeles, CA

Past

October 20, 2020 - June 22, 2021

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

LOS ANGELES, CA

Past

October 19, 2020 - June 22, 2021

WEDBUSH SECURITIES INC.

CRD#: 877

LOS ANGELES, CA

Past

October 8, 2019 - December 31, 2021

AXXCESS WEALTH MANAGEMENT, LLC

RIA

CRD#: 164081

Thousand Oaks, CA

Past

November 27, 2015 - October 17, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTLAKE VILLAGE, CA

Past

November 27, 2015 - October 17, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WESTLAKE VILLAGE, CA

Past

November 21, 2008 - December 8, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS ANGELES, CA

Past

November 21, 2008 - December 8, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LOS ANGELES, CA

Past

July 8, 1997 - November 25, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LOS ANGELES, CA

Past

October 21, 1992 - November 25, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

LOS ANGELES, CA

Past

August 15, 1988 - September 6, 1990

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/26/2020)

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

State Security Law Exam

IAR

Series 65

Date: 5/16/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/26/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/19/1992

General Securities Representative Examination

Current Firm

PATHFINDER WEALTH ADVISORS, LLC

PATH FINDER ADVISORS, LLC | PATHFINDER WEALTH ADVISORS, LLC | PATHFINDER ADVISORS, LLC

CRD#: 305910 / SEC#: 801-117551

RIA

Registered Investment Advisory firm - (10/14/2020 Terminated)

California

Registered Investment Advisory firm - (10/12/2020 Approved)

Montana

Registered Investment Advisory firm - (3/15/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2029 Century Park East Ste 400n, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 945-5490

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 20,777,225

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard M. Blosser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Marion Blosser's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXXCESS WEALTH MANAGEMENT, LLC

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

AXXCESS WEALTH MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/1994

Series 63

Date: 11/2/1992

SIE

Date: 10/1/2018

Series 3

Date: 10/26/1992

Series 7

Date: 10/19/1992

Current Firm

PATHFINDER WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATHFINDER WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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