Joseph A. Richard

ANCHOR FINANCIAL GROUP

Brea, CA 92821

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CRD#: 3265155

Professional summary

Joseph Andrew Richard is a registered financial advisor currently at ANCHOR FINANCIAL GROUP located in Brea, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

Joseph Richard California Life agent 0H67257 500 S. Kraemer Blvd, Suite 255 Brea, CA 92821 Life and Health insurance sales Start 11/21/2011 Dedicate less than 1 hour per month, none during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Andrew Richard'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

June 26, 2012 - Present

ANCHOR FINANCIAL GROUP

Office #1: 500 S. Kraemer Blvd Suite 255, Brea, CA 92821

RIA

CRD#: 111801

Brea, CA

Past

March 30, 2012 - January 9, 2017

NPB FINANCIAL GROUP, LLC

CRD#: 137743

Brea, CA

Past

September 27, 2002 - March 29, 2012

PACIFIC FINANCIAL ASSOCIATES, INC.

CRD#: 23772

SANTA ANA, 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

California
(6/26/2012)

IAR

Texas
(10/14/2016)

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 65

Date: 6/25/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/26/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ANCHOR FINANCIAL GROUP

ANCHOR FINANCIAL GROUP | ENHANCED SECURITY PLANNING, INC.

CRD#: 111801 / SEC#: 801-33340

RIA

Registered Investment Advisory firm - (7/13/2012 Terminated)

California

Registered Investment Advisory firm - (6/20/2012 Approved)

Texas

Registered Investment Advisory firm - (10/13/2016 Conditional Restricted)

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).

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Contact information

Main Address

500 S. Kraemer Blvd Suite 255, Brea, CA 92821

Mailing Address

Phone number

(714) 264-3538

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	300
AUM (Assets Under Management)	$ 96,202,258

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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Joseph A. Richard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ANCHOR FINANCIAL GROUP

NPB FINANCIAL GROUP, LLC

PACIFIC FINANCIAL ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2012

Series 63

Date: 4/23/2012

SIE

Date: 1/9/2017

Series 6

Date: 9/26/2002

Current Firm

ANCHOR FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANCHOR FINANCIAL GROUP

TRUST BUT VERIFY

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