Richard Leon Kave | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Leon Kave, who also goes by R L Kave, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

R L Kave

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 20, 2016 - February 22, 2022

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 169045

Waukesha, WI

Past

June 17, 2016 - October 27, 2021

LPL FINANCIAL LLC

BD

CRD#: 6413

WAUKESHA, WI

Past

January 25, 2010 - June 24, 2016

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

WAUKESHA, WI

Past

January 25, 2010 - June 24, 2016

WOODBURY FINANCIAL SERVICES, INC.

BD

CRD#: 421

WAUKESHA, WI

Past

January 14, 2004 - January 29, 2010

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

MILWAUKEE, WI

Past

January 14, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

MILWAUKEE, WI

Past

January 14, 2004 - January 29, 2010

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

MILWAUKEE, WI

Past

April 28, 1997 - January 27, 2004

HARBOUR INVESTMENTS, INC.

BD

CRD#: 19258

MADISON, WI

Past

March 28, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD

CRD#: 680

NEWARK, NJ

Past

March 28, 1989 - May 22, 1997

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HG

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045 / SEC#: 801-78565

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 3/23/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 3/23/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 26

Date: 11/9/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HG

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045 / SEC#: 801-78565

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

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Contact information

Main Address

8985 E. Bell Road, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 604-0600

Established

Firm type

Fiscal year end

# of Employees

25

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS - WRAP PROGRAM (3/26/2025)

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,804
AUM (Assets Under Management)	$ 277,447,180

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 L. Kave

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

HARBOUR INVESTMENTS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 3/23/1989

SIE

Date: 10/1/2018

Series 6

Date: 3/23/1989

Series 26

Date: 11/9/2001

Current Firm

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

TRUST BUT VERIFY

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