Richard Egan

CADENCE WEALTH MANAGEMENT

SEATTLE, WA 98101

Some features on this profile are disabled

CRD#: 3127649

Professional summary

Richard Egan, CFP®, who also goes by Richard Karel Eagan, Richard Karel Egan, Richard Karel Malovany, Richard Egan Vonrotberg, is a registered financial advisor currently at CADENCE WEALTH MANAGEMENT, LLC located in Seattle, Washington.

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, Series 7, Series 51, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Karel Eagan | Richard Karel Egan | Richard Karel Malovany | Richard Egan Vonrotberg

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.

I AM THE LEAD GUITARIST AND SINGER FOR A ROCK BAND CALLED GOLDBAR. THIS IS A NON-INVESTMENT RELATED ACTIVITY. THE BAND COMMENCED IN 2006. THE LOCATION OF OUR REHEARSAL STUDIO WHICH IS OUR BUSINESS ADDRESS IS 632 NW 46th ST, Seattle, WA 98107. I DEVOTE APPROXIMATELY 4 HOURS PER MONTH TO THIS ACTIVITY AND NONE OF THESE HOURS OCCUR DURING THE BUSINESS DAY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Egan'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

August 30, 2011 - Present

CADENCE WEALTH MANAGEMENT, LLC

Office #1: 1420 5th Ave, #2200, Seattle, WA 98101

RIA

CRD#: 158636

SEATTLE, WA

Past

August 24, 2010 - September 1, 2011

M HOLDINGS SECURITIES, INC.

CRD#: 43285

SEATTLE, WA

Past

April 6, 2010 - August 31, 2011

KIBBLE & PRENTICE HOLDING COMPANY

RIA

CRD#: 127672

SEATTLE, WA

Past

September 4, 2006 - March 22, 2010

RA BENCH, INC

RIA

CRD#: 108011

SEATTLE, WA

Past

December 1, 2005 - June 15, 2011

OSAGE INVESTMENTS, INC.

CRD#: 118539

SEATTLE, WA

Past

May 28, 2004 - July 12, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

OAKLAND, CA

Past

May 28, 2004 - July 12, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 16, 2001 - June 9, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

WALNUT CREEK, CA

Past

March 30, 1999 - June 9, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

October 20, 1998 - April 5, 1999

ALAMO CAPITAL

CRD#: 26193

WALNUT CREEK, CA

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

Arizona
(2/29/2024)

IAR

Washington
(8/30/2011)

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: 10/9/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/5/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/18/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 3/26/2007

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/21/2001

General Securities Principal Examination

Current Firm

CADENCE WEALTH MANAGEMENT, LLC

CRD#: 158636 / SEC#:

Arizona

Registered Investment Advisory firm - (2/29/2024 Approved)

California

Registered Investment Advisory firm - (5/1/2024 Terminated)

Washington

Registered Investment Advisory firm - (8/30/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1420 5th Avenue, #2200, Seattle, WA 98101

Mailing Address

Phone number

(206) 224-5636

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 100,945,476

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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard Egan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

KIBBLE & PRENTICE HOLDING COMPANY

RA BENCH, INC

OSAGE INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

ALAMO CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2000

Series 63

Date: 11/5/1998

Series 7

Date: 10/15/1998

Series 51

Date: 6/18/2007

Series 28

Date: 3/26/2007

Series 24

Date: 3/21/2001

Current Firm

CADENCE WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CADENCE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors