Richard C. Mordesovich

SONOMA PRIVATE WEALTH LLC

Sonoma, CA

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CRD#: 2342709

Professional summary

Richard Charles Mordesovich, CIMA® is a registered financial advisor currently at SONOMA PRIVATE WEALTH LLC located in Sonoma, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 31 and Series 7 exams.

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.) I OWN TWO RENTAL PROPERTIES THAT I SPEND 1 HOUR PER WEEK ON AVERAGE-NOT DURING SECURITIES TRADING HOURS. PURCHASE DATE: OCTOBER 2021. 2.) DONOR ADVISED FUND: THE MORDESOVICH-CHASE FAMILY CHARITABLE GIFT FUND. SPEND APPROXIMATELY 1 HOUR PER MONTH NOT DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Mordesovich'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 16, 2020 - Present

SONOMA PRIVATE WEALTH LLC

RIA

CRD#: 308547

Sonoma, CA

Past

February 9, 2018 - July 14, 2020

SILICON PRIVATE WEALTH, LLC

RIA

CRD#: 284145

San Francisco, CA

Past

October 2, 2008 - February 7, 2018

BAKERAVENUE

RIA

CRD#: 132657

SAN FRANCISCO, CA

Past

August 3, 2005 - March 4, 2008

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

SAN FRANCISCO, CA

Past

August 3, 2005 - March 4, 2008

NEUBERGER BERMAN BD LLC

CRD#: 2908

SAN FRANCISCO, CA

Past

August 19, 2003 - July 6, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

August 19, 2003 - July 6, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

June 11, 2003 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

SAN FRANCISCO, CA

Past

June 10, 2003 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 27, 2000 - August 10, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 11, 2000 - May 16, 2000

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

January 14, 1999 - May 21, 1999

ACCESS FINANCIAL GROUP, INC.

CRD#: 33065

CHICAGO, IL

Past

May 21, 1993 - February 7, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

SONOMA PRIVATE WEALTH LLC

SONOMA PRIVATE WEALTH LLC | SPW+ | SPW

CRD#: 308547 / SEC#: 801-125022

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

California

Registered Investment Advisory firm - (7/7/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/7/2022 Terminated)

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).

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
(5/14/2020)

IAR

New York
(3/9/2025)

IAR

Texas
(4/16/2020)

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: 12/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/18/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 7/2/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/20/1993

General Securities Representative Examination

Current Firm

SONOMA PRIVATE WEALTH LLC

SONOMA PRIVATE WEALTH LLC | SPW+ | SPW

CRD#: 308547 / SEC#: 801-125022

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

California

Registered Investment Advisory firm - (7/7/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/7/2022 Terminated)

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Contact information

Main Address

Sonoma, CA

Mailing Address

268 Bush Street #3926, San Francisco, CA 94104

Phone number

(415) 806-0073

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SONOMA PRIVATE WEALTH LLC ADV BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	221
AUM (Assets Under Management)	$ 136,746,367

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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Firm Stability Insights

Richard C. Mordesovich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Mordesovich's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILICON PRIVATE WEALTH, LLC

BAKERAVENUE

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

ACCESS FINANCIAL GROUP, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SONOMA PRIVATE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2000

Series 63

Date: 5/28/1993

Series 3

Date: 11/18/1994

Series 31

Date: 7/2/1993

Series 7

Date: 5/20/1993

Current Firm

SONOMA PRIVATE WEALTH LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SONOMA PRIVATE WEALTH LLC

TRUST BUT VERIFY

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