Richard F. Weiss

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CRD#: 2995327

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 Fred Weiss, CFP® was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 8 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

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^®

Certified Financial Planner

Start date: 2003

Experience

Past

January 3, 2012 - October 24, 2018

WEISS FINANCIAL GROUP LLC

RIA

CRD#: 159331

MAHOPAC, NY

Past

January 22, 2009 - January 10, 2012

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

MAHOPAC, NY

Past

January 7, 2009 - January 10, 2012

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

MAHOPAC, NY

Past

January 2, 2004 - January 8, 2009

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MAHOPAC, NY

Past

February 12, 2003 - January 27, 2004

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

January 29, 2002 - February 21, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 29, 2002 - February 21, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 5, 2001 - February 1, 2002

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

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".

WEISS FINANCIAL GROUP LLC

WEISS FINANCIAL GROUP LLC | WEISS FINANCIAL GROUP, LLC

CRD#: 159331 / SEC#: 801-72871

RIA

Registered Investment Advisory firm - (12/2/2011 Approved)

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.

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 66

Date: 12/11/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/4/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2003

General Securities Principal Examination

Current Firm

WEISS FINANCIAL GROUP LLC

WEISS FINANCIAL GROUP LLC | WEISS FINANCIAL GROUP, LLC

CRD#: 159331 / SEC#: 801-72871

RIA

Registered Investment Advisory firm - (12/2/2011 Approved)

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Contact information

Main Address

704 Route 6, Mahopac, NY 10541

Mailing Address

Phone number

(845) 621-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (1/15/2025)

Regulatory assets under management

Total Number of Accounts	247
AUM (Assets Under Management)	$ 76,153,515

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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Advisor Monitoring

Firm Stability Insights

Richard F. Weiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSET & FINANCIAL PLANNING, LTD

PRIME CAPITAL SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

1ST GLOBAL CAPITAL CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

Primary Firm SEC Registration

WEISS FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2001

Series 7

Date: 12/4/2001

Series 24

Date: 12/11/2003

Current Firm

WEISS FINANCIAL GROUP LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEISS FINANCIAL GROUP LLC

TRUST BUT VERIFY

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