Richard M. Ligotti

LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT

Laguna Niguel, CA

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CRD#: 3116658

Professional summary

Richard Michael Ligotti is a registered financial advisor currently at LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Richard has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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) CA INDEPENDENT INSURANCE AGENT - OFFERING SALES OF LIFE, LONG TERM CARE, AND INDEX ANNUTIES SINCE 06/2004. NON INVESTMENT RELATED, APPROX 10% TIME SPENT, BUSINESS CONDUCTED FROM OFFICE ADDRESS OF RECORD

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Ligotti'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®

None

Experience

Current

July 29, 2016 - Present

LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC

RIA

CRD#: 283837

Laguna Niguel, CA

Past

April 27, 2010 - July 18, 2016

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

LAGUNA NIGUEL, CA

Past

April 26, 2010 - July 18, 2016

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

LAGUNA NIGUEL, CA

Past

March 1, 2006 - April 27, 2010

AFA ADVISOR SERVICES LLC

RIA

CRD#: 129104

LAGUNA NIGUEL, CA

Past

May 28, 2004 - April 27, 2010

AFA FINANCIAL GROUP, LLC

CRD#: 127648

LAGUNA NIGUEL, CA

Past

September 26, 2003 - September 10, 2004

WILLIAM JORDAN INVESTMENTS, INC.

RIA

CRD#: 127495

LAGURA HILLS, CA

Past

November 29, 2001 - June 7, 2004

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 6, 2000 - December 4, 2001

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Past

October 15, 1998 - March 13, 2000

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

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
(7/29/2016)

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: 11/14/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/2005

General Securities Principal Examination

Current Firm

LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC

LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC | LNS

CRD#: 283837 / SEC#:

California

Registered Investment Advisory firm - (7/29/2016 Approved)

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Contact information

Main Address

Laguna Niguel, CA

Mailing Address

Phone number

(949) 248-7035

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard M. Ligotti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Ligotti's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

AFA ADVISOR SERVICES LLC

AFA FINANCIAL GROUP, LLC

WILLIAM JORDAN INVESTMENTS, INC.

SENTRA SECURITIES CORPORATION

SIGMA FINANCIAL CORPORATION

SII INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2002

Series 63

Date: 10/23/1998

SIE

Date: 7/18/2016

Series 7

Date: 10/6/1998

Series 24

Date: 1/27/2005

Current Firm

LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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