Richard J. Ryan
CRD#: 2954069
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard James Ryan, CFP® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 4 and Series 24 exams.
Biography
I am an experienced tax professional with demonstrated success in the financial services industry. I provide expert advice on trust and estate matters, creating and overseeing trusts under the terms of the governing trust document and fiduciary tax return preparation. I'm also skilled in full-balance sheet consulting.
My specialty is understanding the client's needs through active listening, problem solving and always putting the client first in everything I do.
I am an enrolled Agent, Certified Financial Planner, Certified Trust and Fiduciary Advisor and have NV, AZ, CA Insurance Licenses.
Question & Answer
What are your service offerings?
Financial Planning,
Tax Advisory,
Tax Accounting,
Tax Preparation,
Tax Planning,
Insurance,
Small Business Planning
Do you have an area of expertise or specialization?
Tax planning and business plan...
Preparation of 1040, 1041, 106...
Thorough knowledge of federal ...
Business planning and business...
merchant card processing for s...
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
No
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)
The CRS(Customer Relationship Summary) document is not provided.
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®
Start date: 2021
Experience
Past
May 10, 2019 - June 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HENDERSON, NV
Past
April 11, 2019 - June 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HENDERSON, NV
Past
August 4, 2008 - May 26, 2011
SUNSTREET SECURITIES, LLC
BD
CRD#: 143211
PEORIA, AZ
Past
February 16, 2005 - August 4, 2008
FOX & COMPANY INVESTMENTS INC.
BD
CRD#: 18517
SURPRISE, AZ
Past
April 1, 2004 - June 10, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 15, 2001 - June 7, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 24, 2000 - March 29, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 15, 1998 - January 27, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 18, 1998 - June 17, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, 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".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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
WELLS FARGO CLEARING SERVICES, LLC
Tax and Business Advisor at RJ Ryan FinancialCRD#: 19616TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
