Richard Alan Leach
CFP®Professional Summary
Richard Alan Leach, CFP®, who also goes by Rick Alan Leach, is a registered financial advisor currently at INVESTMENT SECURITY CORPORATION located in Calabasas, California. Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Alan Leach
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
Credentials
Years of Experience
38 years in the financial services industry
Current & Past Employments
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
Current Firm
INVESTMENT SECURITY CORPORATION
Contact Information
Main Address
24009 Ventura Blvd., Suite 101, Calabasas, CA 91302Mailing Address
24009 Ventura Blvd., Suite 101, Calabasas, CA 91302Phone Number
(818) 225-9529Established
California since 01/19/1999Firm Type
CorporationFiscal Year End
NovemberFirm Size
SmallFINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
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.
The advisor shows no other business activity.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(1/30/2004)
(3/7/2013)
(4/3/2019)
(11/27/2012)
(3/16/2007)
(7/27/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Leach's CRS (Customer Relationship Summary).
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
RBC CAPITAL MARKETS, LLC
