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Richard Lee Watson

Richard L. Watson

AVIOR WEALTH MANAGEMENT
Roseville, CA 95661
Some features on this profile are disabled
CRD#: 2173329
Richard Lee Watson

Professional summary

Richard Lee Watson, CFP®, who also goes by Rick Watson, is a registered financial advisor currently at AVIOR WEALTH MANAGEMENT, LLC located in Roseville, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rick Watson

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) - RIA

Click below to view Richard Lee Watson's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1999

Experience

Current

January 21, 2026 - Present

AVIOR WEALTH MANAGEMENT, LLC

Office #1: 3200 Douglas Blvd., Suite 305, Roseville, CA 95661
RIA
CRD#: 148674
Roseville, CA
Past

October 10, 2018 - December 31, 2025

PROTECTION POINT ADVISORS

RIA
CRD#: 291805
ROSEVILLE, CA
Past

February 18, 2009 - February 13, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Roseville, CA
Past

February 17, 2009 - December 31, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Roseville, CA
Past

July 19, 1999 - February 23, 2009

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
ROSEVILLE, CA
Past

November 11, 1991 - February 23, 2009

NYLIFE SECURITIES LLC

BD
CRD#: 5167
ROSEVILLE, CA

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".
AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA
Registered Investment Advisory firm - (12/4/2008 Approved)

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
(1/21/2026)
IAR
Oregon
(1/21/2026)
IAR
Texas
(1/21/2026)
IAR
Washington
(1/21/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/25/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/16/2009
General Securities Principal Examination

Current Firm

AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA
Registered Investment Advisory firm - (12/4/2008 Approved)
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Contact information

Main Address
14301 First National Bank Parkway Suite 410, Omaha, NE 68154
Mailing Address
Phone number
(402) 218-4064
Established
Firm type
Fiscal year end
# of Employees
201

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AVIOR ADV 2A 3/2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts4,385
AUM (Assets Under Management)$ 5,083,670,234

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.

Company Information

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674Roseville, CA 95661

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