RB
Richard M. Biel
AMERICAN INDEPENDENT SECURITIES GROUP
Spokane, WA 99201
Some features on this profile are disabled
CRD#: 2140569
RB
Professional summary
Richard Michael Biel, who also goes by Rick M Biel, is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Spokane, Washington.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick M Biel
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.
FIXED INSURANCE SALES 1312 N Monroe St Suite 93 Spokane, WA 99201, NOT INVESTMENT-RELATED, NATURE AND DUTIES - SELL FIXED INSURANCE PRODUCTS, GENERAL AGENT, START - 8/1999, 5 HRS/MONTH AND USUALLY NO TIME IS SPENT ON FIXED INSURANCE BUSINESS DURING SECURITIES TRADING HOURS.DBA: BIEL INVESTMENT MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Biel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Biel'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®
NoneExperience
Current
April 23, 2019 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 1312 N Monroe St Suite 93, Spokane, WA 99201RIA
BD
CRD#: 135288
Spokane, WA
Current
April 23, 2019 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 1312 N Monroe St Suite 93, Spokane, WA 99201RIA
BD
CRD#: 135288
Spokane, WA
Past
July 23, 2007 - April 23, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
SPOKANE, WA
Past
March 7, 2007 - April 23, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
SPOKANE, WA
Past
August 19, 1999 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
BD
CRD#: 35316
SPOKANE, WA
Past
August 5, 1998 - October 1, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 22, 1995 - July 2, 1998
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SEATTLE, WA
Past
June 30, 1995 - September 6, 1995
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
February 23, 1995 - July 7, 1995
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
CEDAR RAPIDS, IA
Past
January 22, 1993 - October 7, 1993
PACIFIC CLIFFS CAPITAL, INC.
BD
CRD#: 30327
Past
October 16, 1991 - December 31, 1992
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SEATTLE, WA
Past
June 17, 1991 - July 16, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/23/2019)
RR
Arizona(4/23/2019)
RR
California(4/23/2019)
RR
Colorado(4/23/2019)
RR
Delaware(6/17/2025)
RR
Florida(4/23/2019)
RR
Georgia(7/25/2023)
RR
Idaho(4/23/2019)
RR
Iowa(10/5/2021)
RR
Louisiana(4/23/2019)
RR
Nevada(2/22/2022)
RR
North Carolina(3/12/2025)
RR
Oklahoma(4/23/2021)
RR
Oregon(11/27/2019)
RR
Pennsylvania(4/23/2019)
RR
Texas(4/23/2019)
RR
Washington(4/23/2019)
IAR
Washington(4/23/2019)
RR
Wyoming(9/22/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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.
