RG
Richard C. Green
CAITLIN JOHN
San Diego, CA 92108
Some features on this profile are disabled
CRD#: 2769630
RG
Professional summary
Richard Christopher Green is a registered financial advisor currently at CAITLIN JOHN, LLC located in San Diego, California.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 52, Series 24, Series 10 and Series 9 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Christopher Green'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
May 13, 2024 - Present
CAITLIN JOHN, LLC
Office #1: 3665 Ruffin Rd Ste 204, San Diego, CA 92108RIA
CRD#: 154494
San Diego, CA
Past
January 14, 2014 - October 10, 2024
ALPHA GLOBAL INVESTMENTS
RIA
CRD#: 154575
SAN DIEGO, CA
Past
November 20, 2012 - December 31, 2013
ALPHA GLOBAL INVESTMENTS
RIA
CRD#: 154575
SAN DIEGO, CA
Past
April 24, 2006 - October 5, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SAN DIEGO, CA
Past
March 23, 2005 - October 5, 2009
TD AMERITRADE, INC.
RIA
CRD#: 7870
SAN DIEGO, CA
Past
March 23, 2005 - October 5, 2009
TD AMERITRADE, INC.
BD
CRD#: 7870
SAN DIEGO, CA
Past
July 13, 2004 - March 18, 2005
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
DEL MAR, CA
Past
July 13, 2004 - March 18, 2005
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
March 29, 2001 - July 13, 2004
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SAN DIEGO, CA
Past
September 5, 2000 - July 13, 2004
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
August 20, 1996 - September 14, 2000
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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".
CJ
CAITLIN JOHN, LLC
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT, INC. | IMAGINE ADVISORS, LLC | FORMULA FOLIOS PRESTIGE, LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)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(5/13/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CJ
CAITLIN JOHN, LLC
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT, INC. | IMAGINE ADVISORS, LLC | FORMULA FOLIOS PRESTIGE, LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1024 E. Grand River Ave Suite B, Brighton, MI 48116
Mailing Address
Phone number
(810) 355-1325
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,005 |
| AUM (Assets Under Management) | $ 183,421,272 |
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.
