Richard C. Gage
Professional summary
Richard Chandler Gage, who also goes by Rick Gage, is a registered financial advisor currently at SEM WEALTH MANAGEMENT located in Tucson, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard has worked at 2 firms and has passed the Series 63, Series 65, Series 62, Series 22, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Chandler Gage's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 1995 - Present
SEM WEALTH MANAGEMENT
Office #1: 7367 E. Tanque Verde Rd, Tucson, AZ 85715-3475January 12, 2000 - February 14, 2012
PACIFIC WEST SECURITIES, INC.
Primary Firm SEC Registration
SEM WEALTH MANAGEMENT
CRD#: 112142 / SEC#: 801-55690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/19/1995)
(4/13/2004)
Exams
Series 62
Date: 6/7/2005
Corporate Securities Limited Representative ExaminationSeries 2
Date: 9/22/1995
Non-Member General Securities ExaminationCurrent Firm
SEM WEALTH MANAGEMENT
CRD#: 112142 / SEC#: 801-55690
Contact information
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,108 |
| AUM (Assets Under Management) | $ 920,498,000 |
Red Flags
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